All posts tagged "Proprietary trading"
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299IndiaIndia Standardises Stamp Duty on Securities Transactions Nationwide
India has revised its framework for levying the stamp duty on securities transactions, in a bid to ensure uniformity across the country.
July 2, 2020 -
489Capital RegulationUS Regulators Approve Volcker Rule Revisions
The latest amendment allows banks to invest in venture capital and credit funds and reduces the amount of capital they have to set aside against inter-affiliate swap trades.
June 30, 2020 -
814Fintech / RegtechIOSCO Consults on Updated Set of Outsourcing Principles
The principles include selection due diligence, information security, confidentiality issues, outsourcing risk concentration, and access to data, among others.
May 29, 2020 -
2.0KCapital RegulationCovid-19 Puts Financial Regulation Under Stress
Business continuity plans, social distancing measures, economic stimulus and liquidity constraints are hindering banks’ abilities to stay consistent with regulators' expectations, says Peter Guy.
March 30, 2020 -
481Fintech / Regtech
IOSCO Offers Guidance on Regulating Crypto-asset Trading Platforms
The report provides a toolkit of possible measures for key considerations relevant to authorities for regulating crypto-asset trading platforms.
February 14, 2020 -
480Capital Regulation
Further Volcker Rule Easing Proposed, Despite Dissenting Voices
The proposed revisions seek to relax the Volcker Rule's general prohibition on banks investing in hedge funds, private equity funds and credit funds.
February 1, 2020 -
399ChinaNomura Joint Venture Secures China Securities Business Licence
Nomura Orient International Securities, 51% owned by its Japanese parent, will be allowed to operate brokerage, investment consulting, proprietary trading, and asset management businesses.
November 25, 2019 -
327Capital Regulation
Volcker Rule Rewrite Gets Final Approval After Fed Sign-off
The revisions continue to prohibit proprietary trading, while providing greater clarity and certainty for activities allowed under the law.
October 10, 2019 -
701EnforcementTwo Singaporeans Jailed for Spoofing Derivatives Market
Two former directors of proprietary trading company Joerik Financial were jailed for fraud and dishonest conduct in relation to the trading of futures contracts.
October 8, 2019 -
589Capital RegulationUS Regulators Approve Easing of Volcker Rule
Two of five US agencies have approved the Volcker Rule revamp, which aims to simplify its requirements and give banks more flexibility to trade.
August 21, 2019
