United States

Clearing & Post-Trade

DTCC Cuts GTR Rates for MAS-, ASIC-regulated Transactions

By Samuel Riding | 22/09/2016

New York/London/Hong Kong/Singapore (21 September) – DTCC (the Depository Trust & Clearing Corporation) will from 1 October reduce fees for […]

Conduct, Culture & Accountability

Singapore: Conduct, Mis-selling and Conflicts of Interest

By Samuel Riding | 22/09/2016

Recent events suggest not much has changed since the financial crisis, and a different approach is needed.

Anti-Money Laundering

BSP Ordered to Return $15mn to Bangladesh

By Samuel Riding | 20/09/2016

Bangladesh seeking to recover another USD2.7 million frozen by Philippines’ casino regulator.

Supervision & Enforcement

Regulation Should be a Scalpel not a Hammer

By Peter Guy | 19/09/2016

Deutsche Bank’s $14bn fine leaves the public wondering why bank penalties continue to grow with no end in sight.

Fraud, Scams & Cybercrime

Exclusive: $58mn Missing After HK Cash Advance, P2P Firms Fail

By Samuel Riding | 15/09/2016

Hong Kong police are investigating claims directors misappropriated up to HK$450mn from the two firms.

Market Abuse

Forex Allegations Reopen Door to HSBC Prosecution

By Peter Guy | 12/09/2016

Charges against traders and possibly the bank itself will create regulatory and compliance dilemmas.

Structural Regulation

CFTC Grants Japan Comparability on Un-cleared Swaps

By Samuel Riding | 12/09/2016

US regulator votes 2-to-1 to grant comparability on un-cleared swaps margining, eligible collateral.

Structural Regulation

Thailand Consults on Securities, Derivative License Fees

By Samuel Riding | 06/09/2016

Revised proposals charges for business operators follow first round of public comment.

Emerging Prudential Risks

Raghuram Rajan – An Untimely Departure

By Editors | 01/09/2016

Regulation Asia publishes excerpts from 2005 Jackson Hole speech as a tribute to departing RBI governor.