United States

Thailand Issues Consultation on Net Capital Rules

By Samuel Riding | 13/11/2015

SEC seeks comments on amendments to rules for calculating and reporting net liquid capital.

Spoofing Conviction Creates Uncertainty

By Peter Guy | 09/11/2015

Last week’s successful US conviction creates more ambiguity in electronic trading and global markets.

Pakistan Issues Draft Short Sale Rules

By Samuel Riding | 09/11/2015

Securities and Exchange Commission proposes short sale limit at 40 percent of a security’s average daily turnover.

Thailand’s SEC Consults on Mutual Fund Investment Rules

By Samuel Riding | 06/11/2015

Regular proposing to loosen rules on investment policy of funds sold to institutional and HNW investors

Vietnam Proposes New Public Offering Rules

By Samuel Riding | 06/11/2015

SEC draft rules propose checking of listing candidates’ corporate governance records

Compliance Culture and Goldman’s Fine for Fed Leaks

By Peter Guy | 03/11/2015

Hiring at the edge of the revolving door between regulators and banks inevitably creates hazardous regulatory challenges.

CFTC Issues Exemption Orders to Japanese, Korean Derivatives Clearing Houses

By Samuel Riding | 29/10/2015

Exemptions granted to Japan Securities Clearing Corporation and Korea Exchange due to ‘comparable regulation’ in home countries.

Basel Committee Not Seeking Further Raises in Bank Capital

By Editors | 24/10/2015

Global banking regulators are not looking to raise the level of capital overall in the banking sector as political support for more new rules wanes.

Securities / Derivatives

Thailand Consults on Revised Crowdfunding Rules

By Editors | 14/10/2015

Thailand’s Securities and Exchange Commission is seeking public comments on proposed revisions to crowdfunding rules which have been in effect since May 2015.