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Resolution & Recovery
HK Consultation on Establishing Resolution Regime for Financial Institutions
By Editors | 07/01/2014
Hong Kong Government and regulators have launched the first stage of a public consultation on establishing an effective resolution regime for financial institutions, including financial market infrastructures.
Structural Regulation
CCIL Selected to Issue LEIs in India
By Editors | 07/01/2014
The Reserve Bank of India has selected the Clearing Corporation of India Ltd. (CCIL) to act as a Local Operating Unit (LOU) for issuing globally compatible Legal Entity Identifiers (LEIs) in India.
Clearing & Post-Trade
RBI Grants Qualified Counterparty Status to CCIL
By Editors | 02/01/2014
The Reserve Bank of India (RBI) has granted Qualified Central Counterparty (QCCP) status to the Clearing Corporation of India (CCIL). […]
Clearing & Post-Trade
US Regulator Authorises SGX for Derivatives Clearing
By Editors | 30/12/2013
The Commodity Futures Trading Commission (CFTC) has approved the Singapore Exchange (SGX) as a Derivatives Clearing Organization (DCO), making it the first of its kind in Asia.
Structural Regulation
Japan to Implement Regulation on Financial Benchmarks
By Editors | 30/12/2013
The Tokyo Interbank Offered Rate (TIBOR) is likely to be the first benchmark to be regulated following recent study group […]
Structural Regulation
CFTC Approves Substituted Compliance for Asian Jurisdictions
By Editors | 27/12/2013
The Commodity Futures Trading Commission (CFTC) has approved substituted compliance for six jurisdictions including Australia, Hong Kong and Japan.
Trading & Investment
IOSCO Publishes Retail Structured Products Report
By Editors | 23/12/2013
The International Organization of Securities Commissions (IOSCO) today published their report on Regulation of Retail Structured Products. The report will act as a toolkit outlining regulatory options for international securities regulators when regulating retail structured products.
Conduct, Culture & Accountability
SFC Fines HSBC over Inaccurate Licence Application
By Editors | 20/12/2013
The Hong Kong securities regulator on Thursday fined an arm of HSBC $5M HKD (US$640,000) for providing inaccurate information during […]
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. […]
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