Securities / Derivatives

Market Infrastructure

SEBI Allows All-digital Fee Payments

By Samuel Riding | 09/03/2017

Indian securities regulator also amends charges on derivatives transactions.

Market Infrastructure

ASIC Issues 2H16 Enforcement Report

By Samuel Riding | 08/03/2017

Regulator cites tackling ‘ailing confidence in market based system’ as a priority.

AML / KYC

HK SFC Fines Securities Firm for AML Breaches

By Samuel Riding | 07/03/2017

Firm breached 3 regulations including SFC Code of Conduct.

AML / KYC

Incoming CBRC Chief Eyes ‘Common Regulatory Approach’

By Samuel Riding | 06/03/2017

Guo Shuqing acknowledges confusion created by variety of different laws and regulations.

Securities / Derivatives

US SEC Freezes Singapore Broker-Dealer Accounts

By Samuel Riding | 03/03/2017

US regulator alleges unknown traders gained $1.7mn from inside information, Straits Times reports.

Securities / Derivatives

Taiwan to Introduce Forex ETFs

By Samuel Riding | 03/03/2017

Securities firm to launch inverse and leveraged products this month.

AML / KYC

FSB to Develop Reform Impact Assessment

By Samuel Riding | 02/03/2017

Framework due to be published before July’s G20 Summit.

Capital / Liquidity

HKMA Chief Appointed to Chair FSB Cooperation Committee

By Samuel Riding | 02/03/2017

MAS managing director Ravi Menon ends two-year term as chair of committee on implementation.

Market Infrastructure

New SEBI Chief Takes Office

By Samuel Riding | 02/03/2017

Ajay Tiyagi to work on commodity market integration, HFT, REITs and municipal bonds.