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Structural Regulation
Giancarlo Proposes Multilateralism in CFTC Cross-border Approach
By Manesh Samtani | 03/10/2018
In a white paper, Giancarlo proposes an alternative cross-border framework that pursues multilateralism and gives deference to non-US jurisdictions with comparable G20 swaps reforms.
Supervision & Enforcement
AUSTRAC Strengthens Cooperation with FinCEN
By Garima Chitkara | 28/09/2018
Agencies in both countries will share information on terrorist financing and serious financial crime under a regulatory MoU.
Structural Regulation
US SEC Cautions Against Governance Risks from Dual Class Shares – Report
By Manesh Samtani | 26/09/2018
SEC commissioner Robert Jackson Jr reportedly urged Singapore and Hong Kong to maintain close oversight over companies with dual class share structures to mitigate against corporate governance risks.
Market Abuse
CFTC Imposes Fine on Mizuho Bank in Spoofing Case
By Editors | 25/09/2018
A trader placed multiple large orders on CME and CBOT futures contracts from Mizuho’s Singapore office with no intention of executing them.
Trading & Investment
KRX Obtains SEC Class Relief on Index, Stock Options
By Editors | 20/09/2018
Korea Exchange members can now directly market options on local indexes and 31 individual stocks to US institutional investors.
Cloud & Infrastructure
MAS, CFTC Sign Fintech Cooperation Arrangement
By Editors | 17/09/2018
Cooperation arrangement focuses on information sharing and facilitating referrals of fintech firms between Singapore and the US.
Structural Regulation
ISDA Forum: Brexit Negotiations Should Avoid “Brinksmanship”
By Garima Chitkara | 13/09/2018
Regulators at the ISDA conference in Singapore expressed concern about Brexit uncertainty, but were cautiously optimistic that Asia would suffer only minimal impacts in transactions with the EU and UK.
Clearing & Post-Trade
CFTC Will Block Any Effort to Impose EMIR in the US: Giancarlo
By Garima Chitkara | 13/09/2018
Legislative efforts in the EU to bring non-EU clearinghouses under EMIR has elicited sharp responses from the CFTC chairman, who said that only US regulation can apply to US derivatives markets.
Emerging Prudential Risks
DTCC Identifies Post-GFC Opportunities to Enhance Financial Stability
By Manesh Samtani | 13/09/2018
Ten years after Lehman Brothers became insolvent, additional work is needed to fully address financial system vulnerabilities, while at the same time new risks have emerged.
Trading & Investment
NZX, Nasdaq Agree to Explore Cross Market Access
By Manesh Samtani | 12/09/2018
The exchanges will explore opportunities to promote dual listings, depository receipts, ETFs and broader market development initiatives.
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