(Prudential Requirements for a Stock Exchange)
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1 Capital Market Research Institute ก 1/2553 ก ก ก ก ก (Prudential Requirements for a Stock Exchange) ก 2553 Disclaimer : ก ก
2
3 i 1 1 ก ก ก ก ก กก 4 ก 2 ก ก ก ก ก 13 3 ก ก ก ก ก ก 25 ก ก 4 ก ก ก ก 27 ก ก ก 30 ก 31
4 1 ก ก ก 3 2 กก กก ก ก ก กก ก ก ก 14 6 ก 14 7 (cap) ก 17 8 ก ก 20 9 ก 21 ก ก
5 1 ก ก ก ก 1 2 ก 18 ก ก ก ก ก. 19 ก ก ก ก ก 19 ก ก ก. 20 ก ก ก ก ก 28 ก ก ก ก ก (fixed asset) (total asset) ก 29 ก ก 1 ก ก ก ก 5 (central counterparty) ก 2 ก ก ก กก 11 ก ก 3 ก ก ก 16 ก 4 ก ก. net capital ratio (NCR) 1 23
6 ASX = Australian Securities Exchange BM = Bursa Malaysia Berhad CCP = Central counterparty CS fund = Clearing and settlement fund HKEx = Hong Kong Exchanges and Clearing Limited IP fund = Investor protection fund SET = The Stock Exchange of Thailand SFC = Securities and Futures Commission (Hong Kong) SGX = Singapore Exchange Limited WFE = World Federation of Exchanges. = ก. =. = ก
7 ก ก ก ก ก ก (.) ก ก ก ก ก ก ก ก ก ก กก ก ก ก กก ก ก ก ก ก ก (prudential requirements) ก 3 ก 1 : ก ก. 2 :. ก 3 : ก ก กก ก ก กก ก ก ก ก ก ก กก ก ก ก ก ก ก ก ก ก ก ก ก ก ก (.) ก 1 2 ก ก ก (clearing and settlement fund : CS fund) ก (investor protection fund : IP fund) ก. CS fund ก 2009 ก ก ก ก ก ก ก ก ก i
8 IP fund ก ก ก ก. ก ก ก ก ก ก. ก ก (cap) 1 ก ก ก IP fund ก ก ก 3 ก ก ก (insurance) ก ก ก ก (free fund) ก กก ก ก ก ก demutualization. ก ก ก.. ก. ก ก. / ก ก (1) CS fund. ก ก ก ก ก ก ก. ก ก ก (growth market) ก ก. ก ก ก ก ก ก ก ก 1 (cap) ก ก ก ก. ก ก ก ก ก ก ก ii
9 (2) IP fund ก ก ก ก ก (3) IP fund ก ก IP fund ก ก ก ก ก IP fund ก ก ก ก (4) ก ก ก ก ก ก ก ก. ก ก ก demutualization iii
10 ก ก ก ก ก ก ก (.) ก ก ก ก ก ก ก ก ก 2009 ก (.) ก 6 27 ก ก 2005 ก ก ก ก ก 28 ก 8 ก. 7 ก ก ก 84 ก ก.. (netting efficiency) 16 ก ก ก ก (net clearing) ก ก. (Thailand Clearing House : TCH) 1 : ก ก ก ก. ก. ก ก (clearing house) ก กก ก ก ก ก ก กก ก ก ก ก ก ก (prudential requirements) ก ก ก 1
11 ก ก ก. ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก 2 ก ก ก ก WFE 3 ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก. ก 3 ก (1) ก กก ก (clearing and settlement) (2) ก (investor protection) (3) ก ก ก ก ก ก ก ก ก ก. ก ก (1) ก ก (2) ก ก ก ก ก ก ก ก ก ก (vertically integrated model) ก ก demutualization ก (initial public offering : IPO) ก ก ก. ก demutualization ก 2 ก ก ก ก Bank for International Settlements (BIS) ก ก ก ก ก ก Basel II ก ก 3 WFE (2006), Task Force Report on Capital Adequacy and Management. 2
12 1 : ก ก ก ก. (market capitalization) 2009 ( ) ก (trading value) 2009 ( ) demutualization IPO Australian Securities 1,261, , Exchange (ASX) Singapore Exchange (SGX) 481, , Hong Kong Exchanges and 2,305,143 1,498, Clearing Limited (HKEx) Bursa Malaysia Berhad (BM) 289,219 85, , , : WFE 3
13 1 : ก ก ก ก ก กก ก ก ก. ก ก ก (clearing house) ก กก ก ก ก ก ก. ก ก ก (central counterparty : CCP ( ก 1)) ก ก 2,700 ก T+3 4 ก ก ก ก 3 ก ก ก. ก ก ก ก ก ก ก ก ก T+3 ก ก ก ก ก ก ก ก ก 1. ก ก ก กก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก กก ก 3 4 T+3 ก ก 3 ก ก ก ก 4
14 ก 1 : ก ก ก ก (CCP) ก ก ก ก ก ก ก ก ก. ก ก ก ก ก ก novation ก ก ก ก ก ก ก ก ก ก ก. ก ก ก ก กก (credit risk). ก ก market integrity ก ก ก net clearing ก ก ก ก ก ก ก. ก ก T+3 ก ก (floor and ceiling) ก ก ก +/- 30 ก. net clearing net buy ก ก ก ก ก ก ก. net clearing net sell ก 300 ก ก 3 ก ก 30 ก ก ก 180 ก ก ก ก 3 ก ก ก ก ก CCP. ก ก. ก ก ก ก ก ก ก ก (systemic risk) 5
15 1.1 ก ก ก ก ก ก : ก ก ก ก ก ก กก ก ก (net capital) ก ก ก ก ก ก ก ก (settlement cap) ก ก. 1.2 ก ก ก ก ก ก (securities borrowing and lending : SBL) : ก ก ก ก ก ก ก ก ก ก ก ก ก ก (collateral) ก ก ก ก ก 6 ก 1.3 ก ก ก ก (buy-in) : ก ก ก ก ก ก ก ก ก ก (next day buy-in, same day settlement) ก ก ก ก ก ก กก buy-in ก ก ก 2. ก ก กก ก CCP ก ก ก ก ก ก ก ก ก ก ก ก ก ก ( ก 1) 6
16 2.1 ก ก (margin) ก ก ก ก ก ( ) ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก 2.2 ก ก (security deposit) ก ก ก ก ก ( ) ก ก ก ก ก ก ก ก ก ก ก ก ก 5 ก ก ก ก 4 ก ก ก ก ก 2.3 ก ก (clearing and settlement fund : CS fund) ก CCP ก ก ก ก ก ก ก ก ก ก ก ก ก CS fund ก ก ก ก ก กก ก ก ก ก ก ก ก ก ก ก (margin/security deposit) ก ก ก ก ก ก ก ก 2 (1) ก (2) ก ก ก ก 7
17 ก ก ก ก ก ก ก ก ก ก ก ก / ก กก ก ก ก ก ก ก ก ก ก ก ก ก ก / ก ก ก ก CS fund ก ก HKEx ก ก กก Lehman Brothers ก ก ก. CS fund ก กก ก ก ก ก ก ก ก ก ก ก ก ก ก SBL buy-in 2.4 ก ก ก ก ก ก ก ก ก ก กก ก (insurance) ก ก ก ก ก ก CS fund ก (emergency assessment) ก ก ก ก ก ก ก SGX security deposit ก ก CS fund ก ก ก ก 8
18 ก ก ก ก ก 3 ก (1) ก ก 5 : CS fund ก ก ก ก ก ก (2) ก ก ก : CS fund ก ก CS fund ก (3) ก ก 2 ก ก ก กก ก ก ก ASX HKEx ก ก ก ก ก ก ก ก ก ก ASX SGX ก ก กก ก / ก ก ก ก ก ก ก ก กก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก 6 2 : กก 2009 ( CS fund ( )) ก ASX HKEx SGX BM. ก ก 26% 36% 68% 83% 75% ก ก ก 47% 64% 5% 17% 25% ก ก 26% - 28% - - : 5 ก 5 ก ก ก ก ASX, HKEx, SGX, BM. ก ก ก ก ก 6 WFE (2006), Task Force Report on Capital Adequacy and Management. 9
19 3. ก ก กก ก ก ก กก ก ก CS fund ก ก ก ก ก กก ก ก ก ก ก ก ก 7 ( ก 2) ก 2 ก (1) ก ( ) (2) ( ) 3.1 กก ก ก ก กก ก 2009 ก ก ก BM, SGX ASX ก ก ก 5.2, ( 3) HKEx 0.2 กก ก ก ก ก ก ก. ก ก 8.6. ก ก ก ก. HKEx ก ก.. (netting efficiency) ก (net clearing) ก ก. HKEx ก netting efficiency 2 ก HKEx ก proprietary trading, algorithmic trading formula trading ก. ก (ASX, SGX BM netting efficiency ) 10
20 ก 2 : ก ก ก กก ก ก ก ก ก ก กก ก (net clearing) ก ก ก ก ก ก ก ก ก ก ก ก (1) ก กก ก 2009 ก ก (daily average trading value) ก ก 10 ก ก (2) ก กก 2009 ก (daily average notional trading value) ก ก ก ก ก 3 : กก ก 2009 ก ก ก กก ASX HKEx SGX BM. ก : CS fund ก ( ) ก ก 6,752 17,501 1, ( ) (%) : 5 ก WFE Bloomberg 11
21 3.2 กก ก ก กก 2009 ก ก ASX, HKEx, SGX BM ก ( 4) ก ก กก ก ก ก ก ก margin ก ก ก ก. 13 ก ก ก ก ก ก 4 : กก 2009 ก ก กก ASX HKEx SGX BM. 2.1 : Margin ( ) n.a. 2,605 3, : Security deposit ( ) n.a. n.a : CS fund ก ( ) ก ( 132,850 30,694 36, ) (%) ( ) n.a. n.a (%) ( ) : 5 ก WFE 12
22 2 : ก ก ก ก ก ก ก ก. ก ก ก. ก ก ก (investor protection fund : IP fund) ก ก ก ก. ก ก ก. ก ก ก ก ก ก ก ก ก IP fund (. ก) 33 ก 43. ก 16,922 ก ก. ก ก 2004 ก ก. IP fund กก ก ก ก ก ก ก ก ก กก ก ก ก ก. ก ก ก ก ก ก ก ก ก ก IP fund ก IP fund ก ( 5) ก ก ก ก. ก ก ก ก IP fund IP fund ก ก ก ก ก กก.. ก ก ( 6) IP fund ก ก ก ก ก ก Investor Compensation Company Limited ก ก (Securities and Futures Commission) 13
23 ก ก ก ก ก ก ก (held in trust) ก ก ก ก ก ก ก 5 : ก IP fund IP fund ก ก IP fund ก ( Corporations Act) ( Securities and Futures Ordinance) ( Securities and Futures Act 2001 ) ( Capital Markets and Services Act) ( IP fund ก ก ก. IP fund ). ก ก ( ) : 5 ก, ก, SFC (Hong Kong) National Guarantee Fund Booklet of SEGC (Australia) 6 : IP fund IP fund ก IP fund ก ก National Guarantee Fund Securities Exchanges Guarantee Corporation Ltd. (SEGC) ASX SFE's Fidelity Fund ASX's Supplemental Compensation Fund SFE ASX 14
24 ก IP fund ก IP fund ก ก Investor Compensation Fund Securities Fidelity Fund Compensation Fund of Bursa Malaysia Securities Berhad Securities Investor Protection Fund Investor Compensation Company Ltd. (ICC) ก ก ก ก (SFC) Singapore Exchange Securities Trading Ltd. (SGX-ST) BM. Investor Compensation Fund Derivatives Fidelity Fund Fidelity Fund of Bursa Malaysia Derivatives Berhad ก Investor Compensation Company Ltd. (ICC) ก ก ก ก (SFC) Singapore Exchange Derivatives Trading Ltd. (SGX-DT) BM : 5 ก, ก, SFC (Hong Kong) National Guarantee Fund Booklet of SEGC (Australia) 2. ก IP fund ก ก ก ก ก (exchange-traded product). ก ก ก ก (1). ก ก ก ก ก ก / ก ก ก ก ก. ก. (2). ก ก ก IP fund ก ก ก ก ก IP fund ก 15
25 ก 6 ก IP fund ก ก ก ก ก. ก ก ก IP fund ก ก ก. ก ก ก ก 3 : ก ก IP fund : ก 5,554 IP fund ก กก ก. ก ก กก. ก : ก 7,558 IP fund 73 ก กก C.A. Pacific Securities Ltd ก 76 ก 24 ก (cap) IP fund 150,000 ก (19,354 ) IP fund 4 ก ก IP fund ก 4 ก ก IP fund ก 2 ก ก ( 2008) : IP fund ก.. ก 16
26 3. (cap) IP fund ก ก ก ก กก ก 2 ก (1) ก ก IP fund ก 7 ก ก. / ก (2) ก ก ก กก (pro rata) 7 : (cap) IP fund ก ( ก / ( )) ( ก / ( )). ก. ก 11,400,000 (8,010,118) 350,000 (245,925) 3,000,000 (2,107,926) 5,000,000 (3,513,210) ก 150,000 8,000, ,000 2,000,000 (19,354) (1,032,231) (19,354) (258,058) 50,000 2,000,000 50,000 2,000,000 (34,247) (1,369,863) (34,247) (1,369,863) 100,000 (28,839) 500,000 (144,196) 1,000,000 (28,785) - ก 100,000,000 (2,878,526) - ก ,000,000 (12,953,368) ก : 5 ก, ก, SFC (Hong Kong) National Guarantee Fund Booklet of SEGC (Australia) 8 ก. ก ก IP fund ก ก ก 100 IP fund ก
27 ก ก ก ก ก ก (1) ก : ก ก ก ก ก ก ก ก ( 2) ก ก ก ก ก ก (2) ( 4 5) :. ก ก ก ก ก IP fund 2 : ก ก ก ก ก : 4 ก, ก, SFC (Hong Kong) WFE 18
28 3 : ก. ก ก ก ก : 3 ก, SFC (Hong Kong), National Guarantee Fund Booklet of SEGC (Australia) WFE 4 : ก ก ก : 3 ก, SFC (Hong Kong), National Guarantee Fund Booklet of SEGC (Australia) WFE 19
29 5 : ก. ก ก : 4 ก, SFC (Hong Kong), National Guarantee Fund Booklet of SEGC (Australia) WFE 4. IP fund IP fund ก 3 ก ก. ก ก ก ก 8 ก ก ก. ก ก ก (Securities Commission of Malaysia) 8 : IP fund ก ก ก ก 36% 65% 100% 100% 100%. 39% 35% ก ก ก % - : 5 ก 20
30 5. ก ก IP fund IP fund 2 ก ก CS fund IP fund ก IP fund ก ก ก (cap) ก ก IP fund ก IP fund ก (number of retail investors accounts) 5.1 IP fund ก ก ก IP fund ก 2009 ( 9) ก ก ก ก ก ก 6, , : ก ก 2009 ก ก ก IP fund ( ) ( ) 19,354 34,247 28,839 28,785 ก ( ) 9 6, , ก ( ) n.a. n.a. 0.5 IP fund ก ( ) 58 n.a. n.a. 30 : 4 ก, ก, SFC (Hong Kong) HKEx s Investor Survey 9 ก ก ก ก 10 ก ก ( 2007) ( 2009) 21
31 ก IP fund ก ก ก ก ก IP fund 550 ก ก ก ก ( 9) ก 5. ก 16,922 ก IP fund. ก 1 ก ก IP fund. ก ก. ก. net capital ratio (NCR) 11 1 ( ก 4) ก. ก ( ก ) 8 ก ( ก ) 2 ก ( 1-40 ก ) 6 IP fund ก ก 1 ก ก IP fund 5,000 กก IP fund IP fund IP fund 2009 ก 6, ก ก ก ก ( 10) ก ก ก 11 Net capital ratio (NCR) ก ก ก... ก ก ( ). NCR 7 U.S. Securities and Exchange Commission (SEC). NCR 8 ( debt-to-net capital ratio = 12-to-1) 12 IP fund 550 ก 100 ก
32 IP fund 13 ก 4 : IP fund ก. net capital ratio (NCR) 1 (1). ก. NCR (2) ก ก ก. ก ก ก. ก ก 10 ก. ( ) ก 91. ก ก ก (3) ก IP fund ก ก ก ก.. ก 26,000 ก 24,000 ก 13 ก ก ก ก ก ก ก. ก ก ก (market concentration) ( ก (2009), ก ก ก ก ก )) 23
33 10 : ก 2009 ก ก IP fund ( ) ( ) 245,925 19,354 34,247 ก ( ) , : 3 ก, SFC (Hong Kong) HKEx s Investor Survey 14 ก ก ก ก 24
34 3 : ก ก ก ก ก ก ก ก ก ก ก (reliable) (capacity) (speed) ก ก ก ก ก (peak) ก ก ก ก ก ก (business continuity plan) ก ก ก ก ก ก ก ก ก 3 ก ก ก ก 3.1 ก ก ก ก ก ก (director and officer insurance) : ASX, HKEx, SGX, BM. ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก ก 3.2 ก ก ก : ก ก BM ก กก ก ก (Compensation Fund of Bursa Depository) ก ก ก ก ก ก ก 2009 ก 14 ก ก 100,000 ก (28,839 ) 25
35 3.3 ก ก ก ก (free fund) 15 : ก ก ก ก ก / ก ก ก ก ก ก ก ก ก ก 2005 Tokyo Stock Exchange (TSE) ก ก ก ก (technical glitch). ก ก ก TSE 119 ก ก TSE ก ก ก 15 ก ก (free fund) ก ก (1) (2) (3) ก ก ก ก CS fund IP fund 26
36 4 : ก ก ก กก ก ก ก ก ก ก (volatile) ก ก ก ก ก ก ก ก ก ก ก ก / ก ก demutualization ก ก ก ก ก 16 ก 2 ก (1) (liquid asset) ก CS fund IP fund ก ก ก (free fund) (2) (fixed asset) ก ก (tangible asset - PP&E) (intangible asset software) 6 ก HKEx, SGX BM ก ก 2009 ก ก ก ก ก ก ก ก ก 90 ก ก ก ก ก ก demutualization ก ก demutualization ก 17 ก ก ก ก ก ก SGX HKEx ก demutualization ก ก ก ก ก ก ก ก ก BM 16 (asset) (balance sheet) ก ก กก CS fund IP fund. 17 ก ก ก demutualization ก ก 27
37 demutualization 2004 ก ก ก ก ก / ก ก demutualization ก ก ก ก ก SGX SGX Center CS fund ( 7) ก ASX HKEx ก 6 : ก ก ก ก ก ก ก ก ,500 1, , HKEx SGX BM Free fund ( ก ) Free fund / * ( ก ) : * ก ก ก (capital expenditure) ก ก (working capital) ก (dividend payment) : 3 ก 18 SGX (2007), Summary Annual Report
38 7 : (fixed asset) (total asset) ก : SGX ( SGX Center 80 PP&E 2007), BM ( ก 30 ก 2006), HKEx ( land devaluation equipment disposal/write-off 2003) ASX ( disposal/write-off of computer equipment and software 2005) : 5 ก 29
39 ก demutualization. ก ก ก. ก ก ก ก ก. ก ก ก. ก ก. / ก ก (1) ก กก ก. ก ก ก ก ก ก ก. ก ก ก (growth market) ก ก. ก ก ก ก ก ก ก ก (2) ก ก ก ก ก ก (3) ก ก ก ก ก ก ก ก ก ก ก ก ก ก (4) ก ก ก ก ก ก ก ก. ก ก ก demutualization ก ก ก ก ก ก. 30
40 ก 1 : ก ก ก กก ก ก ก ก ก 1 ก. ก ก ก. SGX BM ASX ก. ก. ก ก 2 ก. 3 ก ก ก ก ก. ก. ก ก ก ก ก ก ก ก ก ก ก 4 ก (reserve fund) ก ก ก ก. 5 ก ก ก ก ก 1 margin. margin. margin. margin. 2 security deposits. security deposits. ก. ก ก ก ก 3 ก. ก ก ก. ก ก. (participant financial backing) 4 ก. ก ก ก ก 31
41 ก 5 ก ก 6 ก ก ก ก. SGX BM ASX Financial guarantee ก ก ก ก ก ก. 7 ก ก security deposits. : SGX, BM ASX ก ก ก ( ) ก 32
42 ก Australian Government the Treasury (2002), Compensation for Loss in the Financial Services Sector Issues and Options. Committee on Payment and Settlement system, Technical Committee of the IOSCO, and Bank for International Settlements (2001). Recommendations for Securities Settlement System. Reserch and Corporate Development of HKEx (2008). Retail Investor Survey Reserve Bank of Australia (2009). 2008/09 Assessment of Clearing and Settlement Facilities in Australia. Securities and Futures Commission (Hong Kong) (2004). Consultation Paper on the Review of the Level and Funding of the Investor Compensation Fund, Broker Defaults since 1998 and the Operation of the Investor Compensation Arrangements. SEGC (2009). National Guarantee Fund Information Booklet. SIPF (Thailand) (2004). Regulations: Protection for Securities Investors. Tang, Irene (2008). Securities and Futures Markets Investor Protection in Hong Kong. The Association of Global Custodians (2009). The Association of Global Custodians Questionaire. WFE (2006). Task Force Report on Capital Adequacy and Management. WFE (2010). Focus: Cleared for Take-off? 33
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