HKEx Likely to Raise Trading Cap for Stock Connect

10/04/2015

Hong Kong Exchanges and Clearing Ltd (HKEx) plans to expand quotas for the cross-border stock program between Hong Kong and Shanghai, its top executive said.

Implications of China’s Looming Market Evolution

10/04/2015

Implications of market structure changes for surveillance and risk management professionals.

S. Korea’s Internet-Only Banks to Launch This Year

09/04/2015

South Korea’s financial regulator believes the country will see the launch of its first Internet-only bank this year, as measures are being hammered out with major IT firms like Naver Corp. and Daum Kakao Corp. to encourage them to invest in the online banking industry.

India Warns of Penalties on Companies Without Women Directors

09/04/2015

India’s market regulator said it will take action against directors of companies that do not comply with a new rule requiring at least one woman to be on their board by October.

China Regulator Moves to Control Margin Finance

08/04/2015

The China Securities Regulatory Commission has imposed new sanctions on six securities firms in an effort to control margin finance, an expanding form of securities lending that is fuelling a rally in shares.

IOSCO Seeks Continuity Plans for Trading Venues, Intermediaries

08/04/2015

The International Organization of Securities Commissions (IOSCO) is examining regulations and policies that can help trading venues such as exchanges or multilateral trading facilities to manage a broad range of risks arising from an evolving technology.

India’s SEBI Plans More Oversight for Index Providers

07/04/2015

The Securities and Exchange Board of India (SEBI) plans to put in place a regulatory framework for index providers in a bid to tackle issues arising from conflicts of interest and promote transparency in determining benchmarks.

ASIC Seeks Reforms in Dealing with Client Legal Privilege

07/04/2015

The Australian Securities & Investments Commission is seeking reforms that would prevent people from making unsubstantial claims of client legal privilege that could delay investigations into breaches of the corporation law.

The Risk of De-Risking

02/04/2015

Complying with anti-money laundering regulations while protecting the bottom line.