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Conduct, Culture & Accountability
Bloomberg Launches Compliance Center
By Editors | 19/12/2013
With recent controversy surrounding group chat rooms used by financial firms including measures by Barclays, Citigroup and Royal Bank of […]
Emerging Prudential Risks
SFC Report Shows Trends in Risk & Risk Mitigation
By Editors | 19/12/2013
The Hong Kong Securities and Futures Commission (SFC) has released a report unveiling the trends in risk and risk mitigation. […]
Structural Regulation
SFC Issues Second Quarter Report
By Editors | 13/12/2013
The Hong Kong Securities and Futures Commission (SFC) has issued its quarterly report for the period July to September 2013.
Conduct, Culture & Accountability
SFC Increases Oversight of Listed Companies
By Editors | 12/12/2013
The Securities and Futures Commission (SFC) will take a broader and more proactive approach in overseeing corporate conduct of listed […]
Structural Regulation
Deutsche Bank Official: Regulation to Dominate Banking
By Editors | 11/12/2013
Regulation will dominate the banking industry for the next year and beyond, according to Dr Paul M Achleitner, Chairman of […]
Payments & Settlements
RBA Assessment of Australian Payments System
By Editors | 11/12/2013
The Reserve Bank of Australia (RBA) has carried out its assessment of aspects of the Australian Payments System against the relevant international standards.
Structural Regulation
US Regulators Issue Final Rules Implementing Volcker Rule
By Editors | 11/12/2013
Five federal agencies have issued final rules developed jointly to implement section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Volcker Rule”).
Conduct, Culture & Accountability
MAS Consultation Paper on Related Party Transaction Requirements for Banks
By Editors | 06/12/2013
This consultation paper sets out proposed changes to MAS’ requirements on banks’ transactions with their related parties (“RPTs”), which are […]
Structural Regulation
HKEx and SGX Establish Framework for Cooperation on Regulatory Reforms
By Editors | 04/12/2013
HKEx and SGX have agreed to work closer on extraterritorial market infrastructure regulation impacting the Asian region.
Clearing & Post-Trade
IOSCO Concerned Over Asian CPP Assessment
By Editors | 03/12/2013
“Imposing conditions and standards that are not relevant for non EU Central Counterparties (CCP) would give rise to severe problems” […]
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