INTERNATIONAL

IOSCO Seeks Continuity Plans for Trading Venues, Intermediaries

By Editors | 08/04/2015

The International Organization of Securities Commissions (IOSCO) is examining regulations and policies that can help trading venues such as exchanges or multilateral trading facilities to manage a broad range of risks arising from an evolving technology.

The Risk of De-Risking

By Editors | 02/04/2015

Complying with anti-money laundering regulations while protecting the bottom line.

IOSCO’s New Code to Boost Transparency in Credit Ratings

By Editors | 25/03/2015

Credit rating agencies are adopting a new code of conduct that should enhance transparency and promote the integrity of the credit rating process.

Market Infrastructure

New Rules for OTC Derivatives Pushed Back to September 2016

By Editors | 19/03/2015

International rules that will require banks to post margin on certain derivative trades have been delayed by nine months as regulators recognised the tight timeline initially given the industry to comply.

Breaking down BCBS 239

By Editors | 13/03/2015

BCBS 239 has the potential to dramatically reduce systemic risk in the banking system. Compliance isn’t an easy project, but if approached in the right way it can transform the way banks do business.

Conduct Risk: Emerging Agenda for Regulators, Says GreySpark Report

By Editors | 04/03/2015

Conduct-related risks are an emerging regulatory frontier for risk, compliance and operations in financial institutions, says a new report.

Standard Chartered and RBS: Now Led by Regulators

By Peter Guy | 02/03/2015

The recent appointments of new leaders for Standard Chartered and Royal Bank of Scotland are as risky as they are riskless.

US Authorities Probe Big Banks’ Pricing of Metals

By Editors | 25/02/2015

US officials are investigating at least 10 major banks for possible rigging of precious-metals markets, the Wall Street Journal reported citing people close to the inquiries.

DTCC’s Legal Entity Identifier Service Gathers Momentum

By Editors | 16/02/2015

The Global Markets Entity Identifier utility of the Depository Trust & Clearing Corporation, offered in collaboration with SWIFT, has issued over 165,000 legal entity identifiers (LEIs) to entities from over 140 jurisdictions, representing about 50% of all issued LEIs.