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Enforcement
Korean Regulators Become Latest Signatories to IOSCO EMMoU
By Editors | 07/12/2018
South Korea’s FSC and FSS have jointly become the 10th member of IOSCO’s EMMoU, which enables cross-border sharing of audit papers and telecommunications and internet records.
Market Infrastructure
Some Aspects of Post-Crisis Reform Disincentivise Central Clearing
By Manesh Samtani | 20/11/2018
A joint report from the FSB, BCBS, CPMI and IOSCO confirms earlier findings that some aspects of post-GFC reform may not incentivise central clearing of OTC derivatives.
Market Infrastructure
FSB Urges More Progress on CCP Resolution Regimes
By Garima Chitkara | 20/11/2018
Progress to enhance the resolvability of SIFIs is advanced in the banking sector, but most jurisdictions do not yet have a comprehensive resolution regime for CCPs in place.
Market Infrastructure
AIMA Publishes FMCC Implementation Guide
By Editors | 01/11/2018
AIMA, Clifford Chance and Herbert Smith Freehills designed the guide to help Hong Kong asset managers better understand the expectations placed upon them and their constituents.
Market Infrastructure
BSE’s India INX Enables Access to CME Group of Exchanges
By Editors | 05/10/2018
New ‘Global Access’ platform enables access to cash and derivatives markets on international exchanges; connectivity with CME Group exchanges already established.
Securities / Derivatives
IOSCO Publishes Guidance Addressing Equity Raising Conflicts of Interest
By Editors | 19/09/2018
The guidance comprises eight measures to address conflicts of interest and sets standards of conduct for market intermediaries in the equity capital raising process.
Market Infrastructure
Capital Regime a Key Impediment to Accessing Central Clearing
By Manesh Samtani | 13/09/2018
FIA, IFF and GFMA said in a consultative response that the current capital regime overstates the risks of client clearing and raises the costs of providing client clearing services.
Market Infrastructure
CPMI, IOSCO Consult on Governance of OTC Derivatives Data
By Editors | 20/08/2018
New consultative document identifies key criteria, functions and bodies for the governance arrangements for critical OTC derivatives data elements data, other that UTI and UPI.
Market Infrastructure
FSB, BIS, IOSCO Study Highlights Central Clearing Interdependencies
By Manesh Samtani | 15/08/2018
FSB, CPMI, IOSCO and BCBS find continued concentration of prefunded financial resources at small number of CCPs; exposures to CCPs also concentrated among small number of clearing members.
Market Infrastructure
CFTC to Simplify Registration Exemption Process for non-US Clearing Firms
By Editors | 10/08/2018
CFTC proposal seeks to make it easier for non-US firms to navigate the process for obtaining exemptions from registration as derivatives clearing organisations.
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