All posts tagged "Trade Surveillance"
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574Crypto / Digital AssetsKorea FSS Probes Use of Crypto by Payment Firms
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, 2022 -
901FeatureBNM Finalises Guidance for Wholesale Financial Market Conduct
Market 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, 2022 -
ESG / Sustainability
MyComplianceOffice Awarded Best Solution in Conduct Risk Management
MyComplianceOffice allows firms to monitor and manage conflicts of interest and conduct risk within their organisations.
December 10, 2021 -
1.8KEnforcementMAS Targets Market Abuse, Misconduct, AML Control Breaches
In its latest enforcement report, MAS highlights its work to strengthen early detection of market misconduct, including through Apollo, an augmented intelligence system.
November 5, 2020 -
536Australia & NZCFTC Penalises Australian Firm for Spoofing by Former Trader
The 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, 2020 -
1.9KAML / KYCVideo: Detecting True Risk With Holistic Surveillance: Nice Actimize
Regulation 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, 2020 -
1.1KFeatureSGX RegCo Proposes Removal of Minimum Trading Price Rule
SGX 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, 2019 -
1.0KFintech / RegtechSingapore Brokers Directed to Enhance Trade Surveillance Systems
MAS 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, 2019 -
994AML / KYC
MAS Targets Market Abuse with Proposed New Requirements
Capital 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, 2019 -
1.3KMalaysiaMalaysia to Loosen Regulatory Reins in Capital Markets
As market discipline strengthens, the Securities Commission and Bursa Malaysia will "proportionately scale down the intensity of regulatory discipline".
June 21, 2019
