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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. […]
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”).
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