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News on frameworks, regulations, and major events related to risks arising from internal processes, systems failures, human errors, or external disruptions.
Market Risk
SFC Proposes Risk Management Guidelines for Futures Brokers
By Editors | 28/11/2022
The guidelines strengthen requirements for futures brokers to safeguard client assets, put in place trading controls, and set prudent client limits.
Resolution & Recovery
US Federal Agencies Find Shortcoming in Citigroup Resolution Plan
By Editors | 24/11/2022
The agencies said the shortcoming raises questions about the bank’s ability to produce accurate financial information during stress conditions and could undermine its resolution plan.
Operational Risk
S&P Global KY3P® Awarded Best Solution for Third Party Risk
By Editors | 22/11/2022
S&P Global Market Intelligence, was awarded best solution in due diligence & third party risk at Regulation Asia’s 5th annual awards ceremony.
Clearing & Post-Trade
S&P Global Market Intelligence Recognised for Best Corporate Actions Solution
By Editors | 22/11/2022
S&P Global Market Intelligence, was awarded best corporate actions solution at Regulation Asia’s 5th annual awards ceremony.
Liquidity Risk
APRA Issues Draft Guidance on Super Fund Investment Governance
By Editors | 19/11/2022
The guidance covers the new SPS 530 requirements on liquidity management, stress testing and valuations, as well as APRA’s expectations on ESG risk management.
Liquidity Risk
IOSCO Reviews Liquidity Risk Management Measures at Funds
By Editors | 19/11/2022
IOSCO’s 2018 recommendations to strengthen liquidity risk management practices in open-ended funds are “broadly well implemented”.
Operational Risk
HKMA Revises Guidance on Accessing CCRA Database via CDI
By Editors | 17/11/2022
Banks can access commercial credit reference agencies via the CDI to automate credit approval processes, reduce manual handling, and enhance operational efficiency.
Supervision & Enforcement
RBNZ Proposes More Intensive Approach to Supervising Insurers
By Sanday Chongo Kabange | 17/11/2022
The RBNZ is consulting on governance, risk management, accountability for key officers, supervisory oversight, and data disclosures.
Operational Risk
APRA to Revise Financial Resources Rules for Super Trustees
By Editors | 16/11/2022
The proposed changes will require trustees to adopt a more sophisticated risk-based approach to the management of operational risk financial resources.
Anti-Money Laundering
FTX Bankruptcy, Secret Transfers, and Regulatory Probes
By Manesh Samtani | 14/11/2022
FTX files for Chapter 11 bankruptcy protection in Delaware as regulators in multiple jurisdictions investigate allegations of illegal activity.
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