All posts tagged "Surveillance"
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1.2KAsia-PacificRegTech Asia 2020: Trade Surveillance and Monitoring
What has the increased use of new client communication modalities to facilitate trading amid the pandemic meant for market surveillance and regulatory compliance?
October 1, 2020 -
492Asia-PacificSri Lanka SEC to Procure New Surveillance System
The SEC is planning to hire a consultant to assess its eThe SEC is planning to hire a consultant to assess its existing surveillance system and make recommendations on procuring a new system.xisting surveillance system and make recommendations on procuring...
September 24, 2020 -
335Australia & NZASIC Issues Report on Debt Capital Raising Conflicts of Interest
ASIC's report, in alignment with a report from IOSCO, offers better practices to manage conflicts of interest and conduct risks in debt capital market transactions.
September 24, 2020 -
589FeatureSFC Identifies Cybersecurity Deficiencies at Internet Brokers
The SFC found deficiencies relating to two-factor authentication, data encryption, session timeout, monitoring and surveillance, among other areas.
September 24, 2020 -
456Australia & NZ
ASIC Directs Fund Managers to Correct Product Mislabelling
ASIC has identified 14 funds using the term 'cash' in their names in a confusing and inappropriate way, and 3 others with a significant liquidity mismatch.
September 23, 2020 -
1.9KContributed ArticleA Detailed Look at MAS’ New Accountability Guidelines
Grace Chong and Si Rong Low at Simmons & Simmons JWS detail the key points of MAS’ final guidelines on individual accountability and conduct.
September 11, 2020 -
465AML / KYCFIA Releases Surveillance and Market Abuse Guidelines
The guidelines cover requirements relating to monitoring, surveillance systems and the filing of suspicious transaction and order reports under the EU's Market Abuse Regulation.
September 10, 2020 -
878EnforcementFINMA Launches Enforcement Proceedings Against Credit Suisse
The proceedings relate to violations identified by a FINMA-appointed auditor in relation to Credit Suisse's observation and security activities, and how these activities are documented and controlled.
September 6, 2020 -
606Australia & NZ
ASIC Penalises Credit Suisse for Breaching Trading Rules
Credit Suisse did not match client orders for on-market buy-backs on an order book as is required by ASIC's market integrity rules.
July 6, 2020 -
1.5KFintech / RegtechFMSB Issues Statement of Good Practice on Algo Trading
The FICC Markets Standards Board sets out 10 Good Practice Statements for market participants and venue operators engaged in algorithmic trading in a new transparency draft.
June 25, 2020
