Markets & Infrastructure

Market Abuse

NICE Actimize Awarded Best Solution in Market & Trading Surveillance

By Editors | 15/12/2020

NICE Actimize uses artificial intelligence and analytics to spot market abuse, conduct risk and suspicious communications early on, thereby preventing reputational, financial and regulatory risk.

Conduct, Culture & Accountability

StarCompliance Recognised for Advances in Conduct Risk Management

By Editors | 15/12/2020

Star Compliance provides software that automates the detection of employee conflicts of interest and provides real-time insights to supervisors to guard against misconduct risk.

Conduct, Culture & Accountability

Thomson Reuters Recognised for Regulatory Change and Compliance Training Solutions

By Editors | 15/12/2020

Thomson Reuters stood out for the extensive scale of its regulatory intelligence, which feeds into its comprehensive compliance learning solutions.

Clearing & Post-Trade

ISDA Awarded Outstanding Project for Benchmark Reform Work

By Editors | 15/12/2020

ISDA was recognised for its work to implement robust contractual fallbacks for derivatives referencing key IBORs as well as pre-cessation fallbacks for LIBOR over the past two years.

Structural Regulation

Hong Kong Audit Regulator Gains Access to Chinese Audit Papers

By Editors | 15/12/2020

“This is a landmark moment for cross-border cooperation in the investigation of auditing irregularities,” said Financial Reporting Council chairman Kelvin Wong.

Structural Regulation

StanChart Permitted to Establish Digital Bank in Singapore

By Editors | 14/12/2020

StanChart was named Singapore’s first Significantly Rooted Foreign Bank in August. New privileges allow it to secure an additional full bank licence to establish a digital banking subsidiary.

Trading & Investment

Bursa Malaysia, Shenzhen Bourse Cross-Promote Indices

By Editors | 14/12/2020

Bursa and the SZSE will each display three key indices from each other’s market, as part of efforts to increase visibility and create opportunities for cross-border investment.

Conduct, Culture & Accountability

ASIC Warns Against Noncompliance with Conflicted Remuneration Ban

By Editors | 14/12/2020

ASIC issued updates to RG 246 that would reflect the end grandfathering of conflicted remuneration for financial product advice from 1 January 2021.

Structural Regulation

Australia to Further Streamline Financial Advice Regulations

By Editors | 14/12/2020

Streamlining the number of bodies involved in financial adviser oversight will reduce complexity and add value for retail investors, said SAFAA CEO Judith Fox.