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Market Infrastructure
FMSB Issues Draft Good Practice Statements on Conflicts of Interest
By Editors | 21/06/2019
The FICC Markets Standards Board provides new guidance to help market participants identify, prevent, manage and mitigate conflicts of interest.
Enforcement
US SEC Charges Five Asian Traders for Market Manipulation
By Editors | 21/06/2019
The SEC has charged three Malaysians, one Singaporean and one Chinese national with violating antifraud and market manipulation provisions.
Market Infrastructure
IOSCO Urges Members to Review, Enhance Cyber Standards
By Editors | 19/06/2019
A new report from the IOSCO Cyber Task Force provides an overview of three internationally recognised cyber standards and frameworks used by IOSCO members.
Market Infrastructure
ISDA Calls for Consistency in Implementation of Margin Rules
By Manesh Samtani | 18/06/2019
In order to maximise efficiency, minimise risk and reduce market fragmentation, national regulators must strive for harmonised margin requirements across the globe, ISDA says.
Market Infrastructure
Banks Making Progress on Compensation Practices: FSB
By Editors | 18/06/2019
Most banks now have compensation policies in place that reduce the potential for inappropriate risk-taking. The challenge now is to develop frameworks for assessing their effectiveness.
Market Infrastructure
GLEIF Welcomes FSB Recommendations to Improve LEI Adoption
By Editors | 18/06/2019
The Global Legal Entity Identifier Foundation will assess how to best align itself to respond and support the FSB’s aim of broader LEI adoption globally.
Market Infrastructure
SFTR: An Opportunity to Upgrade, Automate
By Manesh Samtani | 17/06/2019
DTCC’s Val Wotton and Oliver Williams explain the challenges SFTR presents in Asia, and how firms can best prepare in the lead-up to implementation starting in April 2020.
Big Picture
DLT Can Enhance Settlement Systems, But Not Replace Them
By Manesh Samtani | 14/06/2019
A new paper from Greenwich Associates says DLT cannot replace settlement infrastructure entirely without imposing the very costs it was designed to reduce.
Market Infrastructure
China Issues Draft Rules on Cross-border Data Flows
By Manesh Samtani | 14/06/2019
It is difficult to see how prior regulatory approval of every transfer of personal data from China is workable, says Hogan Lovells partner Mark Parsons.
AML / KYC
Automatic Exchange of Information is Working, Says OECD
By Ralph Cunningham | 13/06/2019
New data from the OECD indicates that Hong Kong and Singapore are adhering to tighter global standards on tax transparency.
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