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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.
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 […]
Securities / Derivatives
IOSCO Concerned Over Asian CPP Assessment
By Editors | 03/12/2013
“Imposing conditions and standards that are not relevant for non EU Central Counterparties (CCP) would give rise to severe problems” […]
ESMA Issues Final Draft Regulatory Technical Standards for Non-EU Counterparties
By Editors | 19/11/2013
The European Securities and Markets Authority (ESMA) has issued final draft regulatory technical standards (RTS) related to derivative transactions by […]
FSB Publishes Annual Update to Global Systematically Important Banks
By Editors | 12/11/2013
The Financial Stability Board (FSB) has published their annual update to their group of Global Systematically Important Banks (G-SIBs). The […]
BIS Releases Liquidity Stress Testing Survey
By Editors | 29/10/2013
The Bank for International Settlements (BIS) has released a working paper titled “Liquidity stress testing: a survey of theory, empirics […]
Second IOSCO Hedge Fund Survey Published
By Editors | 22/10/2013
The International Organization of Securities Commissions has published the Report on the Second IOSCO Hedge Fund Survey. The aim of […]
SEC Halts Worldwide Pyramid Scheme
By Editors | 21/10/2013
The Securities and Exchange Commission today announced charges and asset freezes against the operators and promoters of a worldwide pyramid […]
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