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IOSCO Issues Recommendations on Protection of Client Assets
By Editors | 29/01/2014
The International Organization of Securities Commissions (IOSCO) has released a final report on client asset protection to guide regulators in the supervision of intermediaries holding client assets.
Basel Committee Outlines Sound Practices in Capital Planning Process
By Editors | 26/01/2014
The Basel Committee presents sound practices observed by banks that foster overall improvement in the capital planning processes.
IOSCO Gains 100th MMoU Signatory in Fight Against Financial Misconduct
By Editors | 26/01/2014
The Indonesian Financial Services Authority has become the 100th signatory to the IOSCO Multilateral Memorandum of Understanding (MMoU) on cooperation and exchange of information.
Kinetic Partners: Attitude Towards Regulation Softens, Highlights Need for Global Coordination
By Editors | 23/01/2014
Business executives’ attitude toward regulation improves, but the need for global coordination remains, a survey by consulting and advisory firm Kinetic Partners reveals.
Fund Managers Delay on AIFMD Application, Bottlenecks Seen Ahead of July Deadline
By Editors | 20/01/2014
With only six months to go until full implementation of the Alternative Investment Fund Managers Directive (AIFMD) on July 22nd, fewer than 20% of alternative investment fund managers (AIFMSs) have submitted an application to their local regulator for AIFMD authorisation, says industry survey.
Basel Committee Issues Anti-Money Laundering Risk Guidelines
By Editors | 16/01/2014
Prudent management of these risks together with effective supervisory oversight is critical in protecting the safety and soundness of banks.
Basel Committee Soften Leverage Ratio Requirements
By Editors | 13/01/2014
After pressure from banks, the Basel Committee for Banking Supervision has softened their requirements for calculation of a banks’ leverage ratio.
Regulators to Identify Further ‘Systematically Important’ Financial Institutions
By Editors | 09/01/2014
Regulators are looking to complement their existing ‘too big too fail’ financial organizations with those from the non-bank, non-insurance sector.
SWIFT Creates KYC Registry and Financial Crime Compliance Unit
By Editors | 07/01/2014
SWIFT announces the creation of a Know Your Customer (KYC) Registry for the collection and distribution of standard information required by banks as part of their due diligence process.
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.
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