United States

Structural Regulation

Thailand to Develop Financial Reporting Ecosystem

By Editors | 24/07/2015

The Securities and Exchange Commission is pushing ahead with its plan to develop the financial reporting ecosystem in Thailand in a bid to promote financial statement quality, improve operations of businesses and facilitate investor decision-making.

Conduct, Culture & Accountability

Banking on Good Behaviour

By Peter Guy | 24/07/2015

Conduct risk is proving to be the most frustrating crusade for regulators to lead as no one really understands what it means.

Anti-Money Laundering

U.S. Orders Major China Bank to Enhance Anti-Money Laundering Controls

By Editors | 23/07/2015

The Federal Reserve Board has announced an enforcement action against one of the biggest banks in China, ordering it to restructure its anti-money laundering compliance program.

Trading & Investment

Thailand Eases Process for Issuance of Debt Securities

By Editors | 22/07/2015

Thailand’s Securities and Exchange Commission has announced it will make debt securities offerings more convenient and less time-consuming for issuers, in line with international practices.

Structural Regulation

ASIC Blocks Interactive Brokers from FX Business in Australia

By Editors | 24/06/2015

The Australian Securities & Investments Commission has told Interactive Brokers to stop offering over-the-counter currency trading in Australia as it does not have the right license to operate.

Trading & Investment

Long Term Success of Stock Connect Hinges on Removal of Barriers

By Editors | 11/06/2015

Study commissioned shows the long-term success of the Shanghai-Hong Kong Stock Connect hinges on removing barriers to participation.

Anti-Money Laundering

FATCA in Full Force

By Peter Guy | 19/05/2015

For the first time in history, the US Government wields an international array of law enforcement tools specially designed to pursue tax evasion. But, what are the repercussions?

Structural Regulation

Implications of China’s Looming Market Evolution

By Editors | 10/04/2015

Implications of market structure changes for surveillance and risk management professionals.

Clearing & Post-Trade

DTCC Urges Action Ahead of Next OTC Reporting Phase

By Editors | 25/03/2015

The Depository Trust & Clearing Corporation (DTCC) has urged institutions to stay ahead of reporting deadlines under the next phase of Australia’s derivatives market reporting rules, which will be implemented next month.