Securities / Derivatives

AML / KYC

Malaysia SC Makes Key Appointments

By Samuel Riding | 22/11/2016

Regulator appoints Gumuri Hussain as executive chairman of Audit Oversight Board; Foo Lee Mei as chief regulatory officer.

Market Infrastructure

CSRC ‘Punishes’ Investor for Illegal Stock Connect Trading

By Samuel Riding | 21/11/2016

Regulator has recently warned of market manipulation; Shenzhen-HK link due to launch this month

AML / KYC

FSB Sets Out 2017 Agenda

By Samuel Riding | 18/11/2016

Upcoming reports and consultations cover correspondent banking, conduct and derivatives regulation.

Securities / Derivatives

SEBI Revises Insider Trading Rules

By Samuel Riding | 18/11/2016

Consolidated regulation aims to avoid conflicts of interest, abuse of power.

AML / KYC

MAS Issues Regulatory Sandbox Guidelines

By Samuel Riding | 17/11/2016

Regulatory requirements relaxed; Singapore to promote fintech innovations ‘within boundaries’.

AML / KYC

Malaysia Eyes Digital Markets, Regulatory Framework

By Samuel Riding | 15/11/2016

Securities regulator discusses robo-advice mechanism, central information repository and blockchain deployment.

AML / KYC

Philippines Finalises USD Securities Rules

By Samuel Riding | 15/11/2016

Regulator says move aims to increase capital without incurring forex risks.

Market Infrastructure

HK SFC Warns on Stock Connect Risk

By Samuel Riding | 14/11/2016

Regulator calls for system enhancement due to expected increase in trading volume.

Market Infrastructure

HKEX Delays Derivatives VCM

By Samuel Riding | 14/11/2016

Regulator cites potential technical issue uncovered during final preparations.