Securities / Derivatives

Market Infrastructure

China Exchanges Issue Bond Repo Risk Guidelines

By Samuel Riding | 14/12/2016

Measures aim to strengthen risk management and ensure long-term bond market growth.

Securities / Derivatives

Thailand Introduces Stiff Penalties for Market Malpractice

By Samuel Riding | 14/12/2016

Offenders could face substantial financial penalties and 10-year bans.

Securities / Derivatives

Hong Kong SFC Cites Algo Trading Risk Mitigation Weaknesses

By Samuel Riding | 13/12/2016

Findings include insufficient management and control personnel involvement in governance.

AML / KYC

Central Issues in APAC Buy-side KYC and AML

By Fullerton Fund Management | 12/12/2016

Deep-rooted regulatory issues can be solved through innovation and cooperation.

Market Infrastructure

Indian Gov’t Says NSE Gave Preferential Access

By Samuel Riding | 12/12/2016

Finance minister Arjun Meghwal says loophole making system prone to manipulation closed on 3 December.

AML / KYC

HK SFC Fined Firms $3.33mn in 1H16

By Samuel Riding | 09/12/2016

Disciplinary actions up 67%; civil proceedings rise 23%; completed investigations increase by 24%.

Market Infrastructure

SGX Glitch Halts Derivatives Trading

By Samuel Riding | 09/12/2016

December Nikkei 225 Futures the largest contract hit by delay 5 months after main board malfunction.

Securities / Derivatives

AML & Open Data: The End of Privacy?

By Editors | 08/12/2016

Why regulation alone will not address risks arising from technological advances.

Market Infrastructure

Thailand ‘Sandbox’ to Allow 3 Fintech Services

By Samuel Riding | 08/12/2016

Regulator to allow work on private funds, investment advice, clearing and settlement.