United States

Trading & Investment

Thailand’s SEC Consults on Mutual Fund Investment Rules

By Samuel Riding | 06/11/2015

Regular proposing to loosen rules on investment policy of funds sold to institutional and HNW investors

Structural Regulation

Vietnam Proposes New Public Offering Rules

By Samuel Riding | 06/11/2015

SEC draft rules propose checking of listing candidates’ corporate governance records

Conduct, Culture & Accountability

Compliance Culture and Goldman’s Fine for Fed Leaks

By Peter Guy | 03/11/2015

Hiring at the edge of the revolving door between regulators and banks inevitably creates hazardous regulatory challenges.

Clearing & Post-Trade

CFTC Issues Exemption Orders to Japanese, Korean Derivatives Clearing Houses

By Samuel Riding | 29/10/2015

Exemptions granted to Japan Securities Clearing Corporation and Korea Exchange due to ‘comparable regulation’ in home countries.

Capital Adequacy

Basel Committee Not Seeking Further Raises in Bank Capital

By Editors | 24/10/2015

Global banking regulators are not looking to raise the level of capital overall in the banking sector as political support for more new rules wanes.

Structural Regulation

Thailand Consults on Revised Crowdfunding Rules

By Editors | 14/10/2015

Thailand’s Securities and Exchange Commission is seeking public comments on proposed revisions to crowdfunding rules which have been in effect since May 2015.

Operational Risk

Markit Launches KY3P Platform for Third Party Risk Management

By Editors | 14/10/2015

Barclays, HSBC and Morgan Stanley partner to design new service.

Trading & Investment

Thailand Consults on Foreign Investment Products

By Editors | 07/10/2015

Thailand’s Securities and Exchange Commission is seeking comment on draft rules for providing investment services in foreign currency denominated products also offered overseas.

Conduct, Culture & Accountability

Thailand Enhances Financial Reporting Ecosystem

By Editors | 05/10/2015

Thailand’s Securities and Exchange Commission has launched an initiative to enhance the sustainability of the financial reporting ecosystem.