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Hedge Funds Not a Systemic Risk – ASIC
By Editors | 10/09/2013
Australian hedge funds do not currently pose a systemic risk to the Australian financial system, an ASIC report released today […]
Korean Regulator Reviews Foreign Brokerages’ Derivatives Sales
By Editors | 10/09/2013
South Korea’s regulatory watchdog the Financial Supervisory Service is reviewing derivatives sales at three foreign brokerages for compliance with the […]
HKMA & SFC Publish OTC Consulation Conclusions
By Editors | 09/09/2013
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) jointly published today their conclusions on a […]
Korea Bank Holding Companies’ Capital Ratios Update
By Editors | 09/09/2013
The consolidated BIS capital ratio and Tier 1 capital ratio of bank holding companies at the end of June were […]
Thailand Based Trader Pays $5.2M SEC Settlement
By Editors | 06/09/2013
The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC […]
Securities / Derivatives
Regional Regulators Bolster Cross-Border Cooperation in Market Surveillance
By Editors | 06/09/2013
Regulators from the Asia-Pacific region came together to bolster cross-border cooperation in market surveillance at the ‘Market Integrity Forum’ and […]
Assessment of ASX Clearing and Settlement Facilities
By Editors | 05/09/2013
The Reserve Bank of Australia has released its 2012/13 Assessment of ASX Clearing and Settlement Facilities against the Financial Stability […]
ESMA Advises Commission on Non-EU Derivatives Rules
By Editors | 03/09/2013
The European Securities and Market Authority (ESMA) has published its advice to the European Commission on the equivalence of the […]
Final Report Issued on Margin Requirements for Non-Centrally Cleared Derivatives
By Editors | 03/09/2013
The Basel Committee on Banking Supervision and the International Organization of Securities Commissions (IOSCO) released today the final framework for […]
APRA Releases Final Guidance on Managing Data Risk
By Editors | 02/09/2013
The Australian Prudential Regulation Authority (APRA) today released in final form its prudential practice guide on the management of data […]
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