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Anti-Money Laundering
Judge Upholds Rule for US Banks to Report to Foreign Countries Under FATCA
By Editors | 20/01/2014
A federal court rules that U.S. banks must report to foreign governments on the holdings of citizens in line with FACTA.
Clearing & Post-Trade
US Regulator Authorises SGX for Derivatives Clearing
By Editors | 30/12/2013
The Commodity Futures Trading Commission (CFTC) has approved the Singapore Exchange (SGX) as a Derivatives Clearing Organization (DCO), making it the first of its kind in Asia.
Structural Regulation
CFTC Approves Substituted Compliance for Asian Jurisdictions
By Editors | 27/12/2013
The Commodity Futures Trading Commission (CFTC) has approved substituted compliance for six jurisdictions including Australia, Hong Kong and Japan.
Structural Regulation
US Regulators Issue Final Rules Implementing Volcker Rule
By Editors | 11/12/2013
Five federal agencies have issued final rules developed jointly to implement section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Volcker Rule”).
Clearing & Post-Trade
MAS Approve DTCC Trade Depository in Singapore
By Editors | 06/11/2013
The Depository Trust & Clearing Corporation (DTCC) has announced it has received approval from the Monetary Authority of Singapore (MAS) […]
Clearing & Post-Trade
SGX Proposes Remote Clearing Membership for US Swaps
By Editors | 28/10/2013
Singapore Exchange (SGX) is consulting the market on a new remote membership class, which will enable futures commission merchants registered […]
Fraud, Scams & Cybercrime
SEC Halts Worldwide Pyramid Scheme
By Editors | 21/10/2013
The Securities and Exchange Commission today announced charges and asset freezes against the operators and promoters of a worldwide pyramid […]
Clearing & Post-Trade
Australian Banks Begin Reporting OTC Derivatives
By Editors | 04/10/2013
The Depository Trust & Clearing Corporation (DTCC) today announced that five of the major Australian banks active in the over-the-counter […]
Clearing & Post-Trade
Regulators from Asia attend meeting at ESMA
By Editors | 03/10/2013
Principals and senior representatives of authorities responsible for the regulation of the over-the-counter (OTC) derivatives markets in Australia, Brazil, the […]
Fraud, Scams & Cybercrime
SEC Freezes Assets in Ponzi Scheme Targeting Investors in Japan
By Editors | 27/09/2013
The Securities and Exchange Commission today announced an emergency action to freeze the assets of a Las Vegas-based firm and […]
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