All posts tagged "MiFID II"
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5551Contributed ArticleRegulatory Data: Arrows for the Quiver?
Banks need to be cognisant of how the data they provide to regulators is being used, says Herbert Smith Freehills in its 2019 Global Bank Review.
October 25, 2019 -
1.1KChinaRegulatory Change Aggravated the CITIC-CLSA Culture Clash
Though the CLSA-CITIC fallout was characterised as a cultural clash, this narrative frays against the other challenges facing stock brokers and investment bankers, says Peter Guy.
May 28, 2019 -
1.7KEuropeEU, Singapore Agree to Mutually Recognise Derivatives Venues
Singapore and EU-based firms will be able to trade derivatives on approved platforms based in either jurisdiction following proposed equivalence decisions by both regulators.
February 21, 2019 -
778Securities & TradingMAS Discusses Supervisory Toolkit for Fund Managers – Speech
MAS places emphasis on conduct and individual accountability in its supervisory approach, using data analytics to help identify unusual trends and flag outliers among fund managers.
February 19, 2019 -
579Asia-PacificCalastone to Migrate Global Funds Network to Blockchain
By moving to a blockchain platform, Calastone seeks to address the high cost of funds distribution and operational risk resulting from manual processes, older systems and legacy technology.
December 5, 2018 -
1.0KAsia-PacificFundForum: European Policy Impacts on APAC Asset Managers
MiFID II and GDPR have been the biggest European regulations to impact asset management firms in Asia, according to FundForum panellists last week.
September 10, 2018 -
682Asia-PacificRegulatory Coordination Needed to Reduce Inefficiencies in APAC – Report
With regulation continuing to play a prominent role in Asia over the next five years, China’s Belt and Road initiative is likely to drive increased coordination between the region’s regulators, says a new report from Broadridge and Kapronasia.
September 5, 2018 -
1.3KContributed ArticleThe Banking Industry’s $850bn Behavioural Problem
If banks are serious about avoiding future fines and losses, the solution lies first and foremost in developing a robust risk culture across the entire organisation.
August 7, 2018 -
1.0KAsia-Pacific
Technology and Regulation: Rapidly Reforming the Funds Industry
The Asian funds industry is undergoing a period of fundamental change and challenge. This is a result of shifting investor demographics, rapid technological development, the emergence of technology firms and tightening regulation.
July 25, 2018 -
430Asia-PacificLEI Transition Period For MiFID II To End In July – ESMA
The six month transition period put in place in December 2017 to allow firms to obtain LEIs to comply with MIFID will end on 2 July 2018, as ESMA rules out any extensions in a new statement.
June 21, 2018
