International Organization of Securities Commissions

Hong Kong Bans Retail Investors from Dark Pool Trading

By Editors | 15/05/2015

The Securities and Futures Commission (SFC) has banned individual investors from trading in dark pools as a result of industry consultation on how to improve regulation of the alternative trading venue.

Securities / Derivatives

Optimising Asian Collateral

By Editors | 16/04/2015

Operational, jurisdictional silos hinder Asia’s collateral efficiency. An exclusive roundtable hosted by Regulation Asia with DTCC.

IOSCO Seeks Continuity Plans for Trading Venues, Intermediaries

By Editors | 08/04/2015

The International Organization of Securities Commissions (IOSCO) is examining regulations and policies that can help trading venues such as exchanges or multilateral trading facilities to manage a broad range of risks arising from an evolving technology.

IOSCO’s New Code to Boost Transparency in Credit Ratings

By Editors | 25/03/2015

Credit rating agencies are adopting a new code of conduct that should enhance transparency and promote the integrity of the credit rating process.

Market Infrastructure

New Rules for OTC Derivatives Pushed Back to September 2016

By Editors | 19/03/2015

International rules that will require banks to post margin on certain derivative trades have been delayed by nine months as regulators recognised the tight timeline initially given the industry to comply.

IOSCO Sets Risk Standards for Non-Cleared OTC Derivatives

By Editors | 29/01/2015

The International Organization of Securities Commissions has finalized its risk mitigation standards for uncleared over-the-counter derivatives.

Hong Kong Exchanges to Install New Trading Controls

By Editors | 18/01/2015

Hong Kong Exchanges and Clearing Ltd. plans to introduce new trading controls to make the securities and derivatives markets more efficient and globally competitive.

Basel Committee, IOSCO Issue Guidelines on Securitization Structures

By Editors | 12/12/2014

The Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) have issued new guidelines to help the financial industry develop simple and transparent securitization structures.

IOSCO Tackles Cross-Border Regulation

By Editors | 25/11/2014

The International Organization of Securities Commissions (IOSCO) is consulting the industry on so-called “regulatory tools” or norms designed to guide regulators in supervising financial activities that cross national borders.