Securities / Derivatives

Securities / Derivatives

MAS Issues Retail Derivative, OTC Licensing Consultations

By Editors | 01/06/2017

MAS (the Monetary Authority of Singapore) issued a consultation paper on the regulatory framework for unlisted derivatives offered to retail […]

AML / KYC

Japan FSA Anticipates ‘C2B’ Banking System

By Samuel Riding | 31/05/2017

Commissioner Nobuchika Mori suggests fintech will facilitate provision of ‘bespoke products to mass customers’.

Capital / Liquidity

ASIC Eyes Regtech Expansion

By Samuel Riding | 29/05/2017

Securities watchdog looks to bring more regulation and compliance technology into innovation hub, sandbox.

Securities / Derivatives

APAC Regulators Welcome Global FX Code

By Samuel Riding | 25/05/2017

Regulators from Australia, Hong Kong, India, Korea and Singapore say they will ‘promote adherence’.

Market Infrastructure

HK Market Infrastructures Pass CPMI-IOSCO Test With Aplomb

By Samuel Riding | 25/05/2017

Study confirms frameworks for payment and securities settlement systems, CCPs and trade repositories meet PFMI.

Market Infrastructure

Japan Passes HFT Legislation

By Samuel Riding | 23/05/2017

Offshore HFTs must have offices in Japan; all must register with regulator, disclose risk management practices.

Securities / Derivatives

US Regulator Charges Nomura Traders with Fraud

By Samuel Riding | 22/05/2017

Traders alleged to have made extra $750,000 in profit and boosted bonuses while deliberately lying to customers.

Market Infrastructure

ASIC FX Probe Nears End with Macquarie Undertaking

By Samuel Riding | 22/05/2017

Macquarie follows Big 4 lenders in promising to fix and monitor conduct by forex traders.

Market Infrastructure

Malaysia to Ease ETF Regulations

By Samuel Riding | 19/05/2017

Issuer capital requirement, distribution and permissible products to be expanded.