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Japan FSA Signed Memorandum Of Cooperation With The Financial Services Commission And The Financial Supervisory Service Of South Korea

Japan FSA Signed Memorandum Of Cooperation With The Financial Services Commission And The Financial Supervisory Service Of South Korea

Kenichi SADO, Japan FSA Chairman, Securities and Exchange Surveillance Commission -On November 20th, 2014, the Financial Services Agency (FSA) signed a Memorandum of Cooperation regarding assistance and mutual cooperation in the area of financial supervision with the Financial Services Commission >>

Korea FSC Roadmap For Further Development Of Korea’s Derivatives Market

OVERVIEW The FSC announced its roadmap for further development of Korea derivatives market. The plan has set a clear goal and regulatory principle tailored to each type of derivatives market as follows: - Exchange-traded derivative will be developed into a risk-managed market with focus on >>

Korea FSC Reporting System for High Volume Short Sales

BACKGROUND Since the global financial crisis, major economies have adopted a reporting regime for high volume short sales in line with global discussions* to enhance transparency of short selling. *Principles for Short Selling Regulation proposed by the International Organization of >>

Excerpt from Korea FSC 2012 Financial Policy Agenda

As Europe’s ongoing debt crisis is expected to threaten global economic growth and increase volatility in global financial markets next year, Korea is also likely to face an economic slowdown, which will deal a severe blow particularly to SMEs and low-income households. Under such >>

Korea FSC Best Practice Guidelines for Hedge Funds and Prime Brokers

I. Hedge Funds 1. Guidelines for internal control and risk management Hedge fund management firms are required to set guidelines for internal control over hedge fund management, which include work manuals for executives and employees, and designate persons in charge of internal control matters. >>

Korea FSC Lifts Temporary Short Selling Ban

The FSC decided to lift a three-month ban (August 10 - November 9) on short selling of non-financial stocks from November 10, while maintaining the ban on financial stocks for a while. Stock market volatility has been considerably subdued since August when the financial market turmoil began to >>

Korea FSC Proposed Revision of Regulations on Financial Investment Business

BACKGROUND With the revision of Enforcement Decree of the Financial Investment and Capital Markets Act (FSCMA) publicly announced on September 30, aimed at introducing home-grown hedge funds (tentatively named “specialized private equity funds”) to Korea’s capital markets, the FSC proposed a >>

Korea FSC To Overhaul Financial System

1) Develop Korea Investment Banks 2) Improve Fund Management industry 3) Reform market structure to allow exchange and clearing competition 4) Allow for other capital raising products 5) Strengthened Regulations on Unfair Trading Practices BACKGROUND The Financial Investment Services and >>

Korea FSC Bans Deutsche Bank

Violation of prohibition on market manipulation through the link between spot and futures by KOSPI200 stocks and derivatives trading on November 11, 2010, a KOSPI200 options’ expiry date. Case Overview According to investigation results, AAA1), who is head of Absolute Strategy Group (ASG) - >>

Korea FSC Regulatory Measures For Nov 11 Stock Market Plunge

Background The Financial Services Commission (FSC) and Financial Supervisory Service (FSS) have developed measures to improve derivatives-related trading system jointly with the Korea Exchange (KRX) and the Korea Financial Investment Association (KOFIA) based on the investigation of risk >>