Securities
SEC subpoenas Wells Fargo in fraud investigation
Published online only
Source: Operational Risk & Regulation
Bank accused of failing to provide necessary evidence
Original headline:
Source: Risk magazine
The European Union’s securities markets authority will have to tackle an alphabet soup of new regulations and directives this year – Emir, Mifid and Mifir among them – with a staff smaller than that...
Published online only
Source: Risk magazine
National supervisors should be responsible for their domestic institutions, says Czech National Bank
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SFC: wrestling with local versus international
Published online only
Source: Asia Risk
The comment period for the joint Securities and Futures Commission (SFC) and Hong Kong Monetary Authority (HKMA) consultation paper on the regulatory regime for OTC derivatives closed on November 30. SFC chief executive Ashley Alder and executive director...
Work needed to ensure regulations mesh, says SFC’s Alder
Published online only
Source: Asia Risk
Further international co-ordination is needed if the G-20 deadline for central clearing of standardised OTC derivatives is to be met, says new SFC chief executive
Flowers defends MF Global as a ‘prudently run’ securities firm, despite...
Published online only
Source: Asia Risk
JC Flowers head says reliance on short-term funding is a weakness of whole securities industry – not just MF Global. He adds a worsening eurozone crisis could lead to investment opportunities in troubled banks
ETFS criticises iShares call to rename ETCs
Published online only
Source: Structured Products
ETF Securities has criticised iShares' proposals to rename some commodities products, but says that if ETPS are re-labelled, physically backed ETFs that lend securities should be in the same category as swap-backed products
Mixed reaction to Mifid II's proposals to improve trading transparency
Published online only
Source: Operational Risk & Regulation
Firms say definition of "algorithmic trading" needs revising, while exchanges applaud new pre- and post-trade transparency framework for OTC derivatives
iShares launches campaign to help ETP investors identify risks
Published online only
Source: Structured Products
BlackRock subsidiary takes action after last week's call for more transparency around exchange-traded products
BlackRock: More reforms needed for ETFs, beyond just transparency
Published online only
Source: Structured Products
Statement is beginning of "a series of recommendations" from BlackRock on ETF market, says iShares head of sales
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