Securities / Derivatives

AML / KYC

Updated – MAS Raises Spectre of Algo ‘Contagion’

By Samuel Riding | 21/03/2017

Singapore regulator using clustering, network analysis; to set up supervisory technology unit.

Securities / Derivatives

Westpac, ANZ Submit to Forex Trading Supervision

By Samuel Riding | 20/03/2017

Banks will be under third-party supervision as they fix ‘systems, control and monitoring’.

AML / KYC

FSB Chief Urges Continuation of Reform

By Samuel Riding | 20/03/2017

But Mark Carney suggests body will investigate ‘unintended consequences’ of regulation.

AML / KYC

HK SFC Fines Brokerage $335,000 for 300 AML Failures

By Samuel Riding | 15/03/2017

Zhongtai International breached AML/CTF Ordinance, Code of Conduct and SFC guidance.

Market Infrastructure

IOSCO Launches APAC Hub

By Samuel Riding | 15/03/2017

Hub is intended to build regulatory capacity in APAC jurisdictions.

Market Infrastructure

Vietnam Derivatives Market Set for May/June

By Samuel Riding | 13/03/2017

Regulator to also develop covered warrants framework; is lobbying for stock exchange merger.

Market Infrastructure

ASEAN Exchanges Eye Regulatory Harmony

By Samuel Riding | 13/03/2017

CEOs also agree to promote cross-exchange listings, mutual recognition of capital market professionals.

Market Infrastructure

Australian Regulators Issue Equity Settlement Consultation

By Samuel Riding | 10/03/2017

Paper seeks comment on potential risks from 3 possible models for competition.

Market Infrastructure

MAS Completes Blockchain Settlement Project

By Samuel Riding | 10/03/2017

SGX to trial distributed ledger in fixed income trading, settlement.