All posts tagged "Surveillance"
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737InternationalFMSB Issues Good Practices for Suspicious Transaction, Order Reporting
The FICC Markets Standards Board has published the final version of its Statement of Good Practice on suspicious transaction and order reporting.
January 16, 2019 -
816AML / KYCStock Connect to Introduce Investor ID Regime for Southbound Trading
Launched on 26 September for northbound trading, the investor identification regime will be introduced for southbound trading by the end of Q1 2019.
December 17, 2018 -
699EnforcementSEBI Looks to Enhanced Analytics to Boost Surveillance Capabilities
The regulator is looking to set up private cloud infrastructure to enhance its analytical capabilities for better surveillance and investigations.
November 13, 2018 -
2.7KAML / KYCHKMA Outlines Regtech Initiatives – Speech
The HKMA is looking to build a more diversified regtech ecosystem in Hong Kong and urges for greater collaboration between the banking industry and technology community.
September 28, 2018 -
848EnforcementMAS Publishes Monograph Detailing Enforcement Approach
Monograph outlines how MAS manages enforcement work in three areas: detection, investigations and in taking enforcement action.
September 25, 2018 -
627Enforcement
Market Conduct Committee Calls for Greater Enforcement Powers for SEBI
A committee looking at fair market conduct has proposed greater powers for SEBI to go after insider trading, including the power to intercept phone and electronic communications.
August 13, 2018 -
519Enforcement
SEBI Probes Leaked List of Companies Under Enhanced Surveillance
SEBI alleged that a list of 37 companies that were under the regulator’s Additional Surveillance Measure was leaked before the public announcement was made by the BSE.
June 11, 2018 -
642FeatureHKEX Fights Market Abuse with AI, Machine Learning Tech
NASDAQ technology aims to better safeguard market integrity, detect unusual trading and market abuse, and provide immediate review of group activity involving coordinated trades.
April 19, 2018 -
712FeatureSFC Eying Rules on Instant Message Trade Orders
Executive director also says regulator to develop common standard on the content and format of data required to be kept by investment firms.
April 16, 2018 -
652FeatureIndia Directs Payment Firms to Store User Data Onshore
Payment service providers have been asked to move all consumer data, including end-to-end transaction details to India within six months to ensure easier access by the central bank for supervisory purposes. Foreign firms to be impacted more than domestic firms.
April 9, 2018
