Securities / Derivatives

Securities / Derivatives

Japanese Regulator Recommends Morgan Stanley Fine

By Samuel Riding | 07/12/2016

SESC suggests unit be fined $1.9mn for market manipulation including placing orders without intent to trade.

AML / KYC

Philippine Central Bank Pushes Reform of 23-Year-Old Charter

By Samuel Riding | 07/12/2016

Reform would see BSP receive more financial support to enhance regulatory and supervisory powers.

Securities / Derivatives

APRA, HKMA Confirm Variation Margining Implementation

By Samuel Riding | 07/12/2016

Implementation on margining and risk mitigation requirements to begin as set out under Basel III in both jurisdictions.

Market Infrastructure

MAS Amends OTC Margining Proposals

By Samuel Riding | 06/12/2016

Regulator adjusts margin settlement timeframe, asset requirements in response to feedback.

AML / KYC

FSB RCG Asia Details Workplan, Policy Priorities

By Samuel Riding | 06/12/2016

Group met to discuss macroprudential frameworks, fintech, and correspondent banking.

Market Infrastructure

Shenzhen-HK Stock Connect Opens

By Samuel Riding | 05/12/2016

Accompanying rules aim to curb cross-border illegal activity, market misconduct.

Market Infrastructure

India Revamps Co-Location Facility Rules

By Samuel Riding | 02/12/2016

New rules require one exchange to “allow connectivity” to co-location servers at another.

AML / KYC

Japan FSA Sets Out 2017 Agenda

By Samuel Riding | 01/12/2016

Regulator says to boost cybersecurity, fintech; examine HFT trading regulation.

Market Infrastructure

China Sets up Regional Financial Crime Bureaus

By Samuel Riding | 01/12/2016

Move is a response to stock market ‘irregularities’; teams cover five provincies/cities.