Securities / Derivatives

Securities / Derivatives

SEBI to Introduce Common Registration for Equity, Commodity Brokers

By Editors | 31/03/2017

Move removes need to lock-up funds separately for stock and commodity broking entities for net worth and base minimum capital requirements.

Market Infrastructure

ASIFMA Maps China Capital Markets Reform

By Samuel Riding | 28/03/2017

Association calls for more open regulatory consultations to include foreign participants.

Securities / Derivatives

Philippines’ 1st DDS to List Next Month

By Samuel Riding | 28/03/2017

Two firms confirmed as eligible brokers; BDO Unibank the designated settlement bank.

Market Infrastructure

Merrill Lynch Units’ $1.9mn Fine Could Have Been Much Larger – HK SFC

By Samuel Riding | 27/03/2017

One unit advised on futures contracts for more than 10 years without the required license.

AML / KYC

India, Singapore, Guangdong Join Shift to ID Card-based KYC

By Samuel Riding | 24/03/2017

Financial institutions could soon be able to access government-held information including biometric data.

Capital / Liquidity

No FRTB Until 2021 – APRA

By Samuel Riding | 24/03/2017

Regulator says BCBS unlikely to finalise rules until ‘2020 at the earliest’.

Capital / Liquidity

Asia Set to Withstand Regulatory Uncertainty – IMF

By Samuel Riding | 23/03/2017

Regional representative Geoffrey Heenan addresses potential ‘balkanisation’ in regulatory reform.

Securities / Derivatives

MAS, Singapore Police Seal Spoofing Conviction

By Samuel Riding | 23/03/2017

Former remisier manipulated prices of stocks; traded CFDs on resulting market movements.

Securities / Derivatives

SGX Accepts Order to Improve Resilience

By Samuel Riding | 22/03/2017

Exchange needs to improve six measures over the next 24 months, will contribute costs.