ADVERTISEMENT
Market Infrastructure
DTCC Outlines ‘No-Touch’ Vision for Post-Trade Processing
By Editors | 13/09/2019
Much of today’s post-trade process is still handled manually, resulting in greater risk, errors and costs, says DTCC in a new white paper, highlighting the need for a new approach.
Market Infrastructure
Thailand to Digitise Capital Market Processes with DLT
By Editors | 05/09/2019
The project aims to reduce the documentary procedures required in processes related to share issuances and offerings, securities registration, settlement and delivery, and KYC.
Securities / Derivatives
Sri Lanka Proposes Easing of Stock Market Listing Criteria
By Editors | 05/09/2019
Companies will no longer be required to have three years of consecutive profits to list on the main board of the Colombo Stock Exchange.
AML / KYC
Philippine Police Arrest Former Govt Official for Banking Law Violations
By Editors | 28/08/2019
Former foreign affairs secretary Perfecto Yasay Jr is reportedly accused of conspiring to obtain a $6.7mn loan for a company without reporting the loan to the central bank.
Enforcement
US SEC Fines Deutsche Bank $16m for Corrupt Hiring Practices
By Editors | 27/08/2019
Between 2006 and 2014, Deutsche Bank hired relatives of executives of Chinese and Russian state-owned enterprises to generate business for the bank.
Capital / Liquidity
US Regulators Approve Easing of Volcker Rule
By Manesh Samtani | 21/08/2019
Two of five US agencies have approved the Volcker Rule revamp, which aims to simplify its requirements and give banks more flexibility to trade.
AML / KYC
The Long Arm of the Law
By Eric A. Sohn | 19/08/2019
Eric A. Sohn at Dow Jones Risk & Compliance discusses the US’ ability to restrict a firm’s access to correspondent banking services and its financial markets.
Market Infrastructure
Thailand, Cambodia to Cooperate on Cross-Border Listings
By Editors | 13/08/2019
Thailand and Cambodia’s securities regulators have agreed on a plan to enable cross-border equity offerings and depositary receipts in a bid to boost the development of the CSX.
Fintech / Regtech
Philippine SEC Proposes New Requirements for Online Lending Platforms
By Editors | 08/08/2019
The SEC proposes new disclosure and reporting requirements for operators of online lending platforms, in response to inquiries from the public about their registration and legitimacy.
Market Infrastructure
LIBOR Transition Presents Opportunity to Gain Market Share
By Matthieu Sachot | 08/08/2019
Financial institutions should be treating the LIBOR transition as an opportunity to strengthen client relationships and win market share, says Matthieu Sachot at Chappuis Halder & Co.
JOIN OUR NEWSLETTER
An exclusive weekly selection of top stories from the Regulation Asia editorial team.