United States

Structural Regulation

Regulatory Rollback? Don’t Bet on It

By Samuel Riding | 14/03/2017

APAC institutions banking on having an easier time in the Trump-Brexit era could be in for a rude awakening.

Structural Regulation

Philippines to Lift Minimum Public Float Requirement

By Samuel Riding | 13/03/2017

Floor to be increased from 10% to 15% and later to 25%.

Market Abuse

US SEC Freezes Singapore Broker-Dealer Accounts

By Samuel Riding | 03/03/2017

US regulator alleges unknown traders gained $1.7mn from inside information, Straits Times reports.

Structural Regulation

PSE Set to Agree Fixed Income Exchange Merger

By Samuel Riding | 28/02/2017

CEO Hans Sicat expected to become head of corporate bond board operator.

Structural Regulation

ASEAN Members Agree Audit Improvements

By Samuel Riding | 23/02/2017

4 countries to seek to reduce number of listed company audits with inspection findings by 25%.

Capital Adequacy

Capital Requirements – Excess Doesn’t Mean Excessive

By Peter Guy | 20/02/2017

When you consider their ‘too big to fail’ social function, it’s arguable whether banks could ever have too much capital.

KYC & CDD

Thomson Reuters Buys Clarient, Avox

By Samuel Riding | 07/02/2017

Thomson Reuters signed definitive agreements to acquire Clarient Global LLC and Avox Limited. Clarient is a global KYC (Know Your […]

Capital Adequacy

Making Banking Great Again

By Peter Guy | 06/02/2017

Trump’s ‘America first’ volley against Dodd-Frank will irrevocably alter the industry, again.

Structural Regulation

DTCC Appoints Ann Shuman as General Counsel

By Samuel Riding | 02/02/2017

The Depository Trust & Clearing Corporation (DTCC), announced that Ann Shuman, DTCC Managing Director and Deputy General Counsel, has been […]