The principles include selection due diligence, information security, confidentiality issues, outsourcing risk concentration, and access to data, among others.
May 29, 2020Business 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, 2020The report provides a toolkit of possible measures for key considerations relevant to authorities for regulating crypto-asset trading platforms.
February 14, 2020The 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, 2020Nomura 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, 2019The revisions continue to prohibit proprietary trading, while providing greater clarity and certainty for activities allowed under the law.
October 10, 2019Two 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, 2019Two 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, 2019Brokers 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, 2019Latest 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