International

Emerging Prudential Risks

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.

KYC & CDD

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.

Trading & Investment

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.

Conduct, Culture & Accountability

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 […]

Clearing & Post-Trade

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” […]

Structural Regulation

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 […]

Emerging Prudential Risks

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 […]

Liquidity Risk

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 […]

Emerging Prudential Risks

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 […]