Tag archive for ‘regulator’
Ashley Alder, HK SFC Chief Executive Officer
By Steve On Wednesday, June 15th, 2016
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HK SFC fines State Street Global Advisors $4 million

Ashley Alder, HK SFC Chief Executive OfficerThe Securities and Futures Commission (SFC) has reprimanded and fined State Street Global Advisors Asia Limited (SSGA) $4 million for its failure to comply with regulatory More...

Xu Chen Chairman, Shanghai Clearing House
By Steve On Friday, June 3rd, 2016
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CFTC Issues No-Action Letter for Shanghai Clearing House

Xu Chen Chairman, Shanghai Clearing HouseThe U.S. Commodity Futures Trading Commission’s (CFTC) Division of Clearing and Risk (DCR) today issued a time-limited no-action letter stating that DCR will not recommend More...

Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Friday, June 3rd, 2016
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HK SFC Alder Speech

Ashley Alder, chief executive officer of the Securities and Futures CommissionThe last time I spoke at an HKSI lunch was about 18 months ago, which was only a week after the launch of Shanghai-Hong Kong Stock Connect. More...

Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Tuesday, May 31st, 2016
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HK SFC reprimands and fines Guotai Junan Securities $1.3 million

Ashley Alder, chief executive officer of the Securities and Futures CommissionThe Securities and Futures Commission (SFC) has reprimanded and fined Guotai Junan Securities (Hong Kong) Limited (Guotai Junan) $1.3 More...

Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Thursday, May 7th, 2015
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HK SFC recovers $190 million for investors of collapsed hedge fund

Ashley Alder, chief executive officer of the Securities and Futures CommissionThe Securities and Futures Commission (SFC) today resolved proceedings involving the Descartes Athena Fund SPC (the Athena Fund), paving More...

Vorapol Socatiyanurak, Thailand SEC Secretary-General
By Steve On Saturday, February 28th, 2015
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Thai SEC to launch new schemes for cross-border securities offerings

Vorapol Socatiyanurak, Thailand SEC Secretary-General –The SEC will issue the regulations to promote more financial product variety and thus widen investment choices on foreign securities for investors in More...

By Steve On Friday, February 6th, 2015
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HK SFC welcomes appointment of Executive Director

Ashley Alder, HK SFC CEO –The Securities and Futures Commission (SFC) today welcomes the appointment by the Financial Secretary of Ms Julia Leung as Executive Director of the Investment Products Division for More...

By Steve On Friday, July 4th, 2014
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TOCOM Receives Authorization From Singaporean Regulator As A Recognised Market Operator

Tadashi Ezaki CEO TOCOMThe Tokyo Commodity Exchange, Inc., announced that the Monetary Authority of Singapore (MAS) has granted TOCOM with “Recognized Market Operator” (“RMO”) status. The announcement in More...

By Steve On Saturday, February 15th, 2014
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SEBI: Testing of Software Used in or Related to Trading and Risk Management

Upendra Kumar Sinha SEBI ChairmanSEBI issued circular No. CIR/MRD/DP/24/2013 dated August 19, 2013 on ‘Testing of software used in or related to Trading and Risk Management’. Subsequently, SEBI has received More...

By Steve On Saturday, February 15th, 2014
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SEBI: Safeguards to Avoid Trading Disruption in Case of Failure of Software Vendor

Upendra Kumar Sinha SEBI ChairmanSoftware vendors who provide software to market participants and market infrastructure institutions for the purpose of trading, risk management, clearing and settlement play a crucial More...

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