Markets & Infrastructure

Clearing & Post-Trade

DTCC Appoints Tim Keady to Lead Firms’ DTCC Solutions Businesses

By Samuel Riding | 19/10/2016

New York/London/Hong Kong/Singapore, 18 October 2016 – The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for […]

Alternative Markets

Pakistan Grants 1st PE, VC, Alternative Fund Licence

By Samuel Riding | 19/10/2016

First license under 2015 regulation opens door to expansion of non-banking financial institutions.

Market Abuse

India’s NSE Launches HFT Forensic Audit

By Samuel Riding | 19/10/2016

Deloitte asked to looking into audit systems, investigate brokers and officials amid ‘fair access’ violations.

Conduct, Culture & Accountability

Australia to Launch Banker Remuneration Review

By Samuel Riding | 19/10/2016

APRA says FIs need to ‘better understand and manage their risk cultures’.

Market Abuse

CSRC Fines Media Firm for Misleading Article

By Samuel Riding | 18/10/2016

Securities regulator seeking to clamp down on market rumours and misinformation.

Structural Regulation

Singapore Hosts EU-APAC Regulators Forum

By Samuel Riding | 17/10/2016

Representatives from both jurisdictions’ regulators discuss financial regulation, collaboration

Conduct, Culture & Accountability

Korea Clarifies Financial Firm Governance Laws

By Samuel Riding | 17/10/2016

Regulator responds to concerns about rules on outside directors, risk management and transparency.

Trading & Investment

Vietnam Capital Markets Set for November ‘Big Bang’

By Samuel Riding | 17/10/2016

Derivatives framework and conversion of SOEs into joint-stock companies set to boost liquidity.

KYC & CDD

Why Fee Generation Trumps Reputational Risk

By Peter Guy | 17/10/2016

Goldman Sachs’s victorious case against LIA an object lesson in bank’s priorities.