Securities / Derivatives

Securities / Derivatives

IOSCO Issues Final Fund Liquidity Risk Management Principles

By Samuel Riding | 05/02/2018

Group of regulators says document represents ‘last step’ in its move to address systemic risk from open-ended funds.

Securities / Derivatives

Thailand Throws Open Door to Global Markets for Domestic Investors

By Manesh Samtani | 02/02/2018

Individuals with assets between THB50-100mn can invest overseas up to THB1mn per year; securities and derivatives intermediaries set to participate.

Enforcement

CBA Becomes 7th Bank Involved in BBSW Manipulation Allegations

By Samuel Riding | 31/01/2018

Securities regulator says bank was involved in unconscionable conduct in dealing with the benchmark rate during 2012.

Enforcement

HSBC, Australian Trader Involved in Spate of US ‘Spoofing’ Cases

By Samuel Riding | 31/01/2018

HSBC’s US securities operations agree to pay $1.8bn after CFTC allegations it was involved in ‘numerous acts of spoofing’.

Enforcement

China Regulator Sees Spike in Market Manipulation

By Samuel Riding | 29/01/2018

CSRC representative says recent days have seen ‘unusual trading’ in some market segments and individual stocks.

ESG / Sustainability

Singapore Fund Managers Highlight Political Risk: IMAS Survey

By Garima Chitkara | 27/01/2018

Majority of respondents expect to follow multi-asset strategy in response to political pressures; managers also concerned about fintech disruption and compliance costs.

Securities / Derivatives

FIX Releases New Technical Standard on Cybersecurity

By Editors | 26/01/2018

The new technical standard specifies how to use TLS to secure FIX communications, expected to improve cybersecurity across the industry.

Market Infrastructure

South Korea to Introduce AI Market Monitor

By Samuel Riding | 26/01/2018

Korea Exchange says it will introduce AI system in July; could later expand to cover its secondary market, KOSDAQ.

Market Infrastructure

HKEX Says to Improve Risk Management in 2018

By Samuel Riding | 26/01/2018

Charles Li says HKEX to expand Shenzhen and Shanghai Stock Connect to include ETFs, but proposed Hong Kong-London equivalent on the backburner.