The SEC plans to exploit advances in IT to improve investigations, investor reporting and industry oversight
The CFTC is working on a new exemptive regime for foreign clearing houses, likely to be based on international principles. The plans raise four key questions for non-US clearing houses and market participants....
The recent agreement between EU institutions on a second wave of Mifid legislation will only increase the current level of uncertainty shaking the commodity market. Amid this backdrop, participants need...
More Opinion/Regulation articles
Despite the twists and turns of history, some things remain the same – an important lesson that can be found in the work of Émile Zola. His novel L’Argent shows how an erosion of moral standards can be lethal to individuals, the institutions they...
Operating in high-risk countries, especially through intermediaries or third party resellers, will expose banks and other financial institutions to the danger of prosecution under the Bribery Act – unless they take adequate precautions to prevent becoming...
A recent appeal court decision should be a relief for banks facing civil suits as well as penalties for mis-selling
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.
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