United States

Urgency Required to Enact Global Data Standards, says DTCC

By Editors | 30/07/2015

The Depository Trust & Clearing Corporation has urged legislative and industry action to address three key obstacles it has identified that are hindering achievement of the G20 transparency goals.

How the Fifa Case is Affecting AML and KYC Procedures

By Peter Guy | 28/07/2015

It is unusual that Fifa was able conduct business for so long despite sensational allegations by the media. Compliance teams need to rethink their standards.

Securities / Derivatives

New Rules to Allow Hedge Funds in Thailand

By Editors | 26/07/2015

Thailand’s Securities and Exchange Commission plans to issue regulations by the end of September that would allow the launch of hedge funds and junk bond funds in a bid to keep yield-seekers from investing abroad.

Securities / Derivatives

Thailand to Develop Financial Reporting Ecosystem

By Editors | 24/07/2015

The Securities and Exchange Commission is pushing ahead with its plan to develop the financial reporting ecosystem in Thailand in a bid to promote financial statement quality, improve operations of businesses and facilitate investor decision-making.

Banking on Good Behaviour

By Peter Guy | 24/07/2015

Conduct risk is proving to be the most frustrating crusade for regulators to lead as no one really understands what it means.

U.S. Orders Major China Bank to Enhance Anti-Money Laundering Controls

By Editors | 23/07/2015

The Federal Reserve Board has announced an enforcement action against one of the biggest banks in China, ordering it to restructure its anti-money laundering compliance program.

Securities / Derivatives

Thailand Eases Process for Issuance of Debt Securities

By Editors | 22/07/2015

Thailand’s Securities and Exchange Commission has announced it will make debt securities offerings more convenient and less time-consuming for issuers, in line with international practices.

ASIC Blocks Interactive Brokers from FX Business in Australia

By Editors | 24/06/2015

The Australian Securities & Investments Commission has told Interactive Brokers to stop offering over-the-counter currency trading in Australia as it does not have the right license to operate.

Securities / Derivatives

Long Term Success of Stock Connect Hinges on Removal of Barriers

By Editors | 11/06/2015

Study commissioned shows the long-term success of the Shanghai-Hong Kong Stock Connect hinges on removing barriers to participation.