Regulators also plan to launch a 'Digital Assets Committee' this month to bring additional safeguards and regulatory structure to Korea's crypto industry.
June 5, 2022Market conduct risk assessments should be done at least annually, to serve as a systematic method for assessing susceptibility to misconduct and documenting mitigating actions or controls.
January 5, 2022MyComplianceOffice allows firms to monitor and manage conflicts of interest and conduct risk within their organisations.
December 10, 2021In its latest enforcement report, MAS highlights its work to strengthen early detection of market misconduct, including through Apollo, an augmented intelligence system.
November 5, 2020The CFTC has ordered Propex Derivatives to pay $1mn, comprising restitution, disgorgement, and a civil monetary penalty. The DOJ has also entered a deferred prosecution agreement with the firm.
January 23, 2020Regulation Asia sat down with Nice Actimize's Jerome Lambert to understand how a holistic approach has improved surveillance capabilities and reduced the burden on compliance analysts.
January 15, 2020SGX RegCo is proposing to scrap the MTP rule in light of its suite of other measures to deal with market manipulation, including the pairing of trading restrictions with ‘Trade with Caution’ alerts.
November 29, 2019MAS and SGX RegCo have released a practice guide outlining five guiding principles for brokers to use in the review and design of their trade surveillance programmes.
August 8, 2019Capital market licensees will have to record all client communications and capture their mobile device IDs. Foreign intermediaries will have to provide UBO information on request.
August 6, 2019As market discipline strengthens, the Securities Commission and Bursa Malaysia will "proportionately scale down the intensity of regulatory discipline".
June 21, 2019