All posts tagged "Proprietary trading"
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350Fintech / RegtechIOSCO 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 -
344Capital RegulationFurther 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 -
320ChinaNomura 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 -
280Capital 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 -
611EnforcementTwo 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 -
540Capital 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 -
506IndiaIndia’s Brokers Push Back Against Higher Margining for Equity Derivatives
Brokers say SEBI's new margining norms increase the cost of trading without any real reduction in risk and will result in "unprecedented damage" to India's equity derivatives market.
January 22, 2019 -
560EnforcementOSE, TSE Discipline MUFG Brokerage Unit for JGB Futures Manipulation
Latest disciplinary action follows a FSA fine earlier this year, after a dealer manipulated the JGB futures market using the firm's proprietary trading account.
September 21, 2018 -
504Capital RegulationVolcker Rule – Road to Reform or Ruin?
Proposed changes by the Trump Administration to the Volcker Rule are already controversial. Linking cause and effect to risk management have only resulted in an excessively complex regulation that is proving difficult to reform in a “too big to fail”...
June 11, 2018 -
606Capital RegulationFRTB – Ending or Evolving Trading Culture
FRTB will force banks to change their operating models, bringing them out of product and trading desk silos. Bank trading culture and the trading desk concept may need to evolve to accommodate a wider picture of risk taking.
May 28, 2018
