All posts tagged "Archegos"
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379ESG / SustainabilitySFC Reviewing Market Practices to Guard Against Risk
Reviews underway cover concentration risk in OTC derivatives markets, risk management at futures brokers, and block trading practices.
June 30, 2022 -
731EnforcementUK FCA Places Credit Suisse on Regulatory Watchlist
Credit Suisse was added to the FCA's watchlist due to concerns that it was not doing enough to improve its culture, governance and risk controls.
June 15, 2022 -
499EuropeRisks Were Visible in EMIR Data Prior to Archegos Collapse: ESMA
ESMA found that reported trade activity data could be used to track the evolution of Archegos’ positions in individual stocks and analyse the mark-to-market value of its portfolio of swaps.
May 20, 2022 -
611Capital / LiquidityFSC Korea Directs Banks to Strengthen Capital, Risk Management
Banks are asked to strengthen loss absorption capacity, FX liquidity management, credit risk monitoring and bad debt provisioning.
May 12, 2022 -
461EnforcementUS Authorities File Charges Against Archegos, Key Executives
The DOJ, CFTC and SEC charged Archegos and four of its executives for defrauding banks and brokers and manipulating the prices of publicly traded securities.
April 28, 2022 -
1.1KInternational
Japan FSA Issues Guidance on Preventing Archegos-style Incidents
Firms with securities businesses are expected to draw lessons from the shortcomings observed in the Archegos incident in order to foster a sound risk culture.
April 24, 2022 -
303Securities / DerivativesUS SEC Proposes Registration Requirement for Security-Based SEFs
The rules will improve transparency over total return swaps, the instruments partly responsible for last year's blowup at Archegos Capital Management.
April 16, 2022 -
1.2KContributed ArticleThe EU Puts London in the Last Chance Saloon: or Does It?
Tony Freeman explains why European banks are unlikely to move away from clearing trades through London absent a regulatory mandate.
February 11, 2022 -
492Big PictureEU Regulators Warn of Cyber Risk, Credit Losses, Market Exuberance
The EBA, ESMA and EIOPA warn of increasingly sophisticated cyber-attacks, deteriorating credit quality, and possible exuberance in markets.
September 13, 2021 -
942Contributed ArticleLessons in Operational & Credit Risk Management for Exchange Members
SGX RegCo's Boon Gin Tan and Grace Mok discuss findings from a survey of exchange members. A new guide on credit risk management has also been released.
September 7, 2021
