United States

Structural Regulation

Pakistan Introduces Non-bank Micro Finance Companies

By Editors | 24/03/2016

Securities and Exchange Commission revamps regulation to support microenterprises, financial inclusion.

Conduct, Culture & Accountability

Valeant Decline Exposes Research Regulation Failures

By Peter Guy | 21/03/2016

Regulating sell side research conflicts with investment banking has failed. It’s time for a new model.

Anti-Bribery & Corruption

India Rising – Tread Cautiously

By Editors | 16/03/2016

Investors should beware the potential reputational risk from India’s legacy of corruption.

Fraud, Scams & Cybercrime

Bangladesh Bank Claims Hackers Attempted to Take $951mn

By Editors | 15/03/2016

Finance Minister learned of it only a month later when news initially appeared in the media.

KYC & CDD

Ownership Disclosure Rule Creates Market Risk – PSE

By Samuel Riding | 01/03/2016

Head of Philippine Stock Exchange says compliance with rule is ‘close to impossible’.

KYC & CDD

High Level of Compliance with New Philippines Securities Rules

By Samuel Riding | 21/02/2016

Regulator says 88 of 133 firms meet new regulations despite objections from brokers and dealers association.

Trading & Investment

Thailand Amending IPO Rules

By Samuel Riding | 17/02/2016

Securities regulator aims to prevent irregular post-IPO trade caused by disproportionate share allocations to company patrons.

Structural Regulation

SEC to Rule on Philippines Exchange Merger

By Samuel Riding | 16/02/2016

Regulator to decide on merger of fixed income and equity exchanges within two months.

Trading & Investment

Thailand to Amend Alternative Fund Distribution Rules

By Samuel Riding | 15/02/2016

Securities regulator aims to make business operation more flexible, enhance competitiveness.