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Trading & Investment
Australian Regulator Examines Risks Posed By Complex Products
By Editors | 03/02/2014
The Australian Securities and Investments Commission released a new report reviewing the risks posed by complex products and how it will work to regulate them.
Structural Regulation
IOSCO Issues Recommendations on Protection of Client Assets
By Editors | 29/01/2014
The International Organization of Securities Commissions (IOSCO) has released a final report on client asset protection to guide regulators in the supervision of intermediaries holding client assets.
Supervision & Enforcement
IOSCO Gains 100th MMoU Signatory in Fight Against Financial Misconduct
By Editors | 26/01/2014
The Indonesian Financial Services Authority has become the 100th signatory to the IOSCO Multilateral Memorandum of Understanding (MMoU) on cooperation and exchange of information.
Emerging Prudential Risks
Regulators to Identify Further ‘Systematically Important’ Financial Institutions
By Editors | 09/01/2014
Regulators are looking to complement their existing ‘too big too fail’ financial organizations with those from the non-bank, non-insurance sector.
Clearing & Post-Trade
RBI Grants Qualified Counterparty Status to CCIL
By Editors | 02/01/2014
The Reserve Bank of India (RBI) has granted Qualified Central Counterparty (QCCP) status to the Clearing Corporation of India (CCIL). […]
Structural Regulation
Japan to Implement Regulation on Financial Benchmarks
By Editors | 30/12/2013
The Tokyo Interbank Offered Rate (TIBOR) is likely to be the first benchmark to be regulated following recent study group […]
Trading & Investment
IOSCO Publishes Retail Structured Products Report
By Editors | 23/12/2013
The International Organization of Securities Commissions (IOSCO) today published their report on Regulation of Retail Structured Products. The report will act as a toolkit outlining regulatory options for international securities regulators when regulating retail structured products.
Structural Regulation
SFC Issues Second Quarter Report
By Editors | 13/12/2013
The Hong Kong Securities and Futures Commission (SFC) has issued its quarterly report for the period July to September 2013.
Clearing & Post-Trade
IOSCO Concerned Over Asian CPP Assessment
By Editors | 03/12/2013
“Imposing conditions and standards that are not relevant for non EU Central Counterparties (CCP) would give rise to severe problems” […]
Conduct, Culture & Accountability
SEBI Consultation Paper on Regulation of Analysts
By Editors | 02/12/2013
The Securities and Exchange Board of India (SEBI) has issued a consultation paper to address a proposed regulation of research analysts.
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