Markets & Infrastructure

Resolution & Recovery

IOSCO, CPMI Issue Report on Recovery of Financial Market Infrastructures

By Editors | 20/10/2014

Financial market infrastructures, which include payment systems and central securities depositories, are urged to develop a recovery plan to ensure that they can offer critical services to the market even during a crisis and avert any systemic disruptions.

Operational Risk

Malaysia Seeks to Amend Development Financial Institutions Act

By Editors | 17/10/2014

Malaysia’s central bank is seeking industry views on proposals to amend the Development Financial Institutions Act 2002 to further strengthen the industry.

Clearing & Post-Trade

Asia Pacific Institutions Position Portfolio Ahead of Regulatory Changes

By Editors | 17/10/2014

Financial institutions in Asia Pacific are proactively reconciling their portfolios and managing their collateral disputes in view of impending regulatory changes in the region, said TriOptima, provider of OTC derivative post trade services.

Structural Regulation

Australian Regulator Clarifies Rules for Foreign Firms Offering Securities

By Editors | 14/10/2014

Australian Securities and Investments Commission has issued guidelines for foreign companies making offers of CHESS Depository Interests (CDIs) over their shares and options to investors in Australia.

Structural Regulation

IOSCO Consults on Guidelines over Custody of CIS Assets

By Editors | 14/10/2014

The International Organization of Securities Commissions has issued new guidelines regarding custody of collective investment schemes’ (CIS) assets, highlighting issues around the independence of custodians and their role in ensuring the safety of clients’ assets.

Trading & Investment

Shanghai-Hong Kong Stock Connect is a Breakthrough for Direct Access to China Stocks

By Editors | 14/10/2014

Solutions to meet the challenges and deliver opportunities.

AI Risk & Governance

What are the Parallels Between Regulatory Overload and the Role of the Data Scientist?

By Editors | 13/10/2014

As compliance deadlines continue to stack up, Dev Bhudia of GoldenSource explains why the data scientist is playing an increasingly vital role in ensuring financial institutions avoid heavy fines.

Trading & Investment

Taiwan to Relax Rules for Securities Firms

By Editors | 12/10/2014

Taiwan’s top financial regulator said it will relax rules governing the business scope of Taiwanese securities firms’ offshore securities units (OSU), in a move that could boost its stock market and wealth management sector.

Resolution & Recovery

Trying to Stay the Next Derivatives Crisis

By Peter Guy | 10/10/2014

New rules and a major change to derivative contracts will surely create unintended outcomes for everyone.