Enforcement

Cum-Ex Scandal Widens like a Regulatory Inquisition 

10/05/2022

A common tax arbitrage trading strategy is now being prosecuted as outright tax avoidance, catching global banks and traders in a broad net.

Enforcement

Technology and Regulations Clash: Apple Vs EU Antitrust Law

05/05/2022

European Commission has not shown cause for anti-trust allegations as consumers strongly support Apple payment technology, writes Peter Guy.

Capital / Liquidity

HSBC’s Historical and Regulatory Dilemma Exposed

25/06/2020

Financial markets are still reeling from the regulatory implications of HSBC’s support for China’s national security law in Hong Kong, says Peter Guy.

Capital / Liquidity

Covid-19 Puts Financial Regulation Under Stress

30/03/2020

Business continuity plans, social distancing measures, economic stimulus and liquidity constraints are hindering banks’ abilities to stay consistent with regulators’ expectations, says Peter Guy.

Capital / Liquidity

25 Years Since Barings Collapse: What Has Changed?

09/03/2020

Peter Guy explores whether regulation, compliance and financial technology have improved risk management in the 25 years since Barings Bank’s spectacular crash.

AML / KYC

Meeting New Compliance Challenges Through Digital Identity

27/02/2020

Digital identity systems could form a significant component of the compliance infrastructures at the new digital banks in the years to come, says Refinitiv’s Phillip Malcolm.

AML / KYC

Liar’s Poker – The 1MDB Version

11/02/2020

1MDB sorely tested principles-based regulation and compliance at Goldman Sachs. But, the bank was likely set up as a victim from the very beginning, says Peter Guy.

Market Infrastructure

Regulatory Change Aggravated the CITIC-CLSA Culture Clash

28/05/2019

Though the CLSA-CITIC fallout was characterised as a cultural clash, this narrative frays against the other challenges facing stock brokers and investment bankers, says Peter Guy.

Market Infrastructure

Trump-Proposed Shift from Quarterly Earnings Reports Will Hurt Investors

20/08/2018

President Trump’s proposal to shift earnings reporting from quarterly to just every six months will mean less transparency, which will be harmful to investors and the public.