United States
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853HSBC, Australian Trader Involved in Spate of US ‘Spoofing’ Cases
Samuel Riding January 31, 2018HSBC’s US securities operations agree to pay $1.8bn after CFTC allegations it was involved in ‘numerous acts of spoofing’.
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785Banks Will Struggle if Prop Trading is Reintroduced
Peter Guy, Regulation Asia January 22, 2018US banks lobbied hard for a rollback of the Volcker Rule and a return to proprietary trading to bolster profits. They will soon find that it’s now a different world.
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849SEC Refusal to Support Crypto-based ETFs Will Influence Asian Regulators
Bradley Maclean, Regulation Asia January 22, 2018US regulator cited concerns around valuation and liquidity, among other issues; but comments made in rejection letter open path to eventual approval.
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863The Return of ‘Super Alpha’ and Regulatory Arbitrage
Peter Guy, Regulation Asia January 15, 2018The return of SAC Capital’s founder with a new venture reveals the complicated ethics of a post financial crisis world.
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671US Lifts Threat of Criminal Charges against HSBC
Garima Chitkara December 14, 2017Bank released from deferred prosecution agreement after meeting its terms; outgoing CEO says AML to remain ‘a top priority’ in 2018.
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920Don’t Expect New EU Equivalency Decisions for Asia
Samuel Riding September 7, 2017Ben Pott, head of government affairs at NEX Group, suggests Brexit and the time taken to resolve US-EU CCP issue, make equivalency rulings unlikely.
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China Joins Stampede to Regulate ICOs
Samuel Riding August 31, 2017Regulators to introduce rules on ICOs/ITOs which raised nearly $400mn in 1st half of 2017; follows moves by the US and Singapore in July.
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Dodd-Frank in Trump’s Crosshairs
Peter Guy, Regulation Asia August 21, 2017Ignore the US President’s recent legislative failures. Shots at his next target - financial regulations - are likely to hit home, and abroad.
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US Extra-territorial Enforcement is Here to Stay
JP Reimann April 6, 2017Compliance with US overseas enforcement actions is unlikely to change in Asia despite the dilemma it raises for the region's banks.
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The Strange Death of SIFI
Peter Guy, Regulation Asia April 3, 2017Events point to major reforms in Dodd-Frank that could unleash a wave of liquidity.
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