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MAS Consultation Paper on Basel III Liquidity Rules
By Editors | 16/08/2013
On 6 January 2013, the Group of Central Bank Governors and Heads of Supervision (“GHOS”) endorsed the Basel III Liquidity […]
SFC Reprimands and Fines China Securities Holdings
By Editors | 15/08/2013
The Securities and Futures Commission (SFC) has issued a reprimand to China Securities Holdings Limited (China Securities); fined it $1.3 […]
SEC Issues Risk Alert on Options Trading
By Editors | 15/08/2013
The SEC has issued a Risk Alert to help market participants detect and prevent options trading that circumvents an SEC […]
ASIC makes rules on dark liquidity, high-frequency trading
By Editors | 12/08/2013
ASIC has released its market integrity rules on dark liquidity and high-frequency trading. ASIC has also released guidance on the […]
SFC issues guidelines on CPSS-IOSCO Principles for financial market infrastructures
By Editors | 09/08/2013
(Hong Kong) The Securities and Futures Commission (SFC) today issued a set of guidelines for recognized clearing houses concerning the […]
Many Hong Kong institutions not ready for FATCA
By Editors | 09/08/2013
Hong Kong’s banks should put to good use the recent decision by the U.S. Treasury to delay the implementation of the Foreign Account Tax Compliance Act (FATCA), said a local industry official.
Instinet Australia Pty Limited pays $130,000 infringement notice penalty
By Editors | 09/08/2013
Instinet Australia Pty Limited (Instinet) has paid a penalty of $130,000 to comply with an infringement notice given to it […]
Hong Kong companies urged to ensure Islamic bond compliance
By Editors | 09/08/2013
With Islamic finance finally taking root in Hong Kong, compliance and legal staff at the territory’s financial institutions offering sukuk, or Islamic bonds, must ensure that their structures conform to the law, said a local lawyer. Doing so was essential, he said, to obtaining preferential tax treatment.
Japan Agreement with Luxembourg on Audit Oversight
By Editors | 09/08/2013
The Financial Services Agency (FSA) and Certified Public Accountants and Auditing Oversight Board (CPAAOB) exchanged the Letter on cooperation in […]
New Zealand: Code of Conduct consultation underway
By Editors | 09/08/2013
The Code Committee for Financial Advisers is conducting its first review of the Code of Professional Conduct for Authorised Financial […]
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