Securities / Derivatives

AML / KYC

New SEBI Chief Appointed

By Samuel Riding | 13/02/2017

Senior finance ministry official Ajay Tyagi to replace UK Sinha on 1 March.

Securities / Derivatives

Indonesia Exchange Seeks to Ward off ‘Marking the Close’

By Samuel Riding | 13/02/2017

IDX could follow Malaysia, Singapore, HK exchanges in opening up pre-closing trade to scrutiny.

Market Infrastructure

HK SFC Reprimands, Fines Forex Firm

By Samuel Riding | 10/02/2017

Firm’s neglect of regulatory standards affected prices in about 240 transactions.

Securities / Derivatives

CSRC to Inspect Brokers’ Investment Banking

By Samuel Riding | 10/02/2017

Inspection covers asset securitisation, corporate bond underwriting and M&A.

Securities / Derivatives

Thai Stock Exchange Eyes Move to T+2

By Samuel Riding | 10/02/2017

Bond market, futures exchange already support T+2, T+1 settlement.

Market Infrastructure

ISDA Asks for 6-months Grace on VM Requirement

By Samuel Riding | 09/02/2017

Association says market participants aren’t ready, delay will have minimal impact.

Securities / Derivatives

Pakistan Hunts Fugitive Brokers

By Samuel Riding | 09/02/2017

Brokers stole clients’ cash, stocks; SECP to also investigate PSX officials for possible negligence.

AML / KYC

Bureaucracy Hinders Australia Regtech Adoption

By Samuel Riding | 09/02/2017

ASIC urged to work with government to help cut regulatory costs, relax requirements.

Market Infrastructure

SEBI Said to Revamp Exchange Governance Rules

By Samuel Riding | 09/02/2017

Regulator also said to create security receipt listing rules; discuss commodity derivatives market reforms.