United States

AML / KYC

Thailand Launches Crowdfunding Consultation

By Samuel Riding | 20/01/2016

Securities regulator seeks feedback on managing conflicts of interest and compliance monitoring systems.

Thailand Proposes New REIT Lending Rules

By Samuel Riding | 11/01/2016

Securities regulator considers authorising real estate investment trusts to lend to subsidiaries.

PSE-PSD Merger Deadline Extended

By Samuel Riding | 21/12/2015

SEC gives Philippine Stock Exchange extra 45 days to respond to queries on proposed merger with fixed income bourse operator.

Paul Andrews Appointed Head of IOSCO

By Samuel Riding | 17/12/2015

FINRA managing director to take up secretary general post in March.

How Regulation is Accelerating Use of E-trading

By Editors | 16/12/2015

Moves to reduce systemic risk and increase transparency in OTC derivatives support technological innovation.

PSE Faces Queries on PDS Deal

By Samuel Riding | 07/12/2015

Philippine Stock Exchange working to answer regulator’s questions on takeover of fixed income bourse operator.

Ensuring Fast, Fair Trading in Asia

By Samuel Riding | 03/12/2015

Reflecting on the Asian impact of rising fears, and prosecutions, of spoofing by high-frequency traders.

Pakistan Widens Access to Non-bank Financing

By Samuel Riding | 02/12/2015

Regulator introduces new category of NBFC requiring only USD473,709 in equity.

Reacting to Asian ‘Risk Tilt’

By Samuel Riding | 26/11/2015

Asia’s rising economic influence and growth in the amount of risk being booked directly into the region are posing new questions for financial regulators and those they regulate.