INTERNATIONAL

Fintech / Regtech

Profitability through Compliance Technology: Dreaming the Impossible Dream

By Peter Guy | 05/03/2018

Large technology investments to improve compliance performance have not yielded desired results almost ten years after the global financial crisis.

Capital / Liquidity

BCBS Issues Basel III Disclosures Consultation

By Samuel Riding | 28/02/2018

Requirement that banks disclose capital ratio which would trigger restrictions on capital distribution will be at the discretion of individual regulators.

Securities / Derivatives

IOSCO Issues Guidance on Conflicts of Interest in Equity Offerings

By Editors | 24/02/2018

Recommendations developed by group of regulators including ASIC, Hong Kong’s SFC and Japan’s FSA.

Securities / Derivatives

IOSCO Calls for Clampdown on OTC Leveraged Products

By Manesh Samtani | 16/02/2018

New report urges enhanced risk disclosures, leverage limits and curbs on mis-selling; cites studies showing most investors in OTC leveraged products lose money.

Big Picture

Slow Progress on Resolution Regimes – BIS

By Samuel Riding | 10/02/2018

Agustín Carstens notes recent resolutions have not involved bail in; some G-SIB home authorities do not have cooperation agreements with foreign regulators.

Market Infrastructure

Research in an Unbundled World

By Roland De Marsangy | 08/02/2018

Buy-side firms are finding their way to new ways of profiting from their research, and market volumes appear unaffected in the early stages of the MiFID II era.

Big Picture

Regulatory Obligations Aggravate Collateral Scarcity: Report

By Manesh Samtani | 08/02/2018

Recent market trends increasingly favouring secured transactions, coupled with financial crises and regulatory requirements have made collateral scarcer than ever, new report suggests.

Crypto / Digital Assets

Key Regulators Weigh in on Cryptocurrencies: CFTC, SEC, BIS

By Manesh Samtani | 07/02/2018

The US Senate Banking Committee held a fact-finding hearing seeking the views of both the CFTC and SEC chairmen on cryptocurrency regulation.

Securities / Derivatives

IOSCO Issues Final Fund Liquidity Risk Management Principles

By Samuel Riding | 05/02/2018

Group of regulators says document represents ‘last step’ in its move to address systemic risk from open-ended funds.