Securities / Derivatives

Market Infrastructure

Shanghai Futures Exchange Adopts Nasdaq Surveillance Platform

By Samuel Riding | 20/10/2016

New platform will monitor Exchange’s more than 200 members, 700 distant trading terminals.

Securities / Derivatives

HK’s SFC Reprimands, Fines Forex Service $500,000

By Samuel Riding | 20/10/2016

SFC concludes HK FXCM did not treat clients fairly or have proper controls, policies.

Market Infrastructure

Japan to Tighten HFT Regulations

By Samuel Riding | 20/10/2016

New rules to cover trader registration and risk-management requirements.

AML / KYC

Taiwan Selects New FSC Chief

By Samuel Riding | 20/10/2016

New chief is Bank of Kaohsiung chairman; former FSC chair quit amid Mega Bank scandal.

Market Infrastructure

India’s NSE Launches HFT Forensic Audit

By Samuel Riding | 19/10/2016

Deloitte asked to looking into audit systems, investigate brokers and officials amid ‘fair access’ violations.

AML / KYC

Australia to Launch Banker Remuneration Review

By Samuel Riding | 19/10/2016

APRA says FIs need to ‘better understand and manage their risk cultures’.

Market Infrastructure

APRA Finalises Non-Centrally Cleared Derivatives Rules

By Samuel Riding | 18/10/2016

Regulator will not announce implementation date or timetable yet to allow FIs time to prepare.

AML / KYC

Singapore Hosts EU-APAC Regulators Forum

By Samuel Riding | 17/10/2016

Representatives from both jurisdictions’ regulators discuss financial regulation, collaboration

Market Infrastructure

Vietnam Capital Markets Set for November ‘Big Bang’

By Samuel Riding | 17/10/2016

Derivatives framework and conversion of SOEs into joint-stock companies set to boost liquidity.