All posts tagged "Prime brokers"
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472ESG / 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 -
418ESG / Sustainability
SFC Raises Supervisory Focus on Fund Manager Resilience
The SFC is on the lookout for funds with outsized and concentrated bets to prevent an Archegos-type event in Hong Kong.
June 8, 2021 -
2.3KFeatureGFXC to Complete FX Global Code Review by Mid-2021
Among the key issues in the FX market has been settlement risk, given the increasing number of trades being settled without PvP protection, says RBA deputy governor Guy Debelle.
October 23, 2020 -
795FeatureS. Korea Finalises Risk Management Rules for Private Equity Funds
Private equity funds will have to undergo regular audits, adopt new valuation guidelines, conduct regular liquidity stress tests, and cap leverage at 400% of assets, among other measures.
April 27, 2020 -
1.0KEnforcement
Korea to Strengthen Regulatory Framework for Hedge Funds
The FSC will cap illiquid investments at 50% for open-ended funds, require them to conduct regular stress tests, raise transparency of complex fund structures, and enhance supervisory monitoring.
February 15, 2020 -
613InternationalBuy-side Adoption of FX Global Code Lagging: BIS
More needs to be done to bolster buy-side adoption of the FX Global Code, says MAS deputy managing director Jacqueline Loh, who also chairs the BIS Markets Committee.
January 31, 2020 -
601Australia & NZASIC Proposes Disclosure Relief for Agent Securities Lenders
The proposed relief will defer substantial holding notifications required of agent lenders to the time when lending authority is first exercised.
July 30, 2019 -
1.0KEnforcementComplex Group Arrangements Compound Margin Financing Risks: SFC
Deputy chief Julia Leung says the SFC is concerned that brokers are using complex trading arrangements to circumvent regulatory oversight, among other supervisory priorities.
June 19, 2019 -
1.5KHong Kong
SFC Directs Prime Brokers on Regulatory Obligations
If prime services are carried out in Hong Kong, prime brokers are expected to comply with Hong Kong rules and regulations regardless of where the risk positions are booked.
June 11, 2019
