Reporting and GovernanceRSS

APRA reconsidering regulatory approach following Royal Commission’s findings

Following findings from Australia’s Financial Services Royal Commission, APRA is likely to review its regulatory approach and focus much more on conduct issues

SFC makes it easier for public whistleblowers to report misconduct

Hong Kong public encouraged by the SFC to report on suspected cases of market abuse as the regulator seeks to further curb activities such as insider trading and share price manipulation


PRA prompts financial firms to focus on climate risks

The PRA is stepping up pressure on banks to pay more attention to climate change related financial risks following a consultation that is likely to be a step towards eventual regulation

AMF finds good and bad practices relating to MiFID

France’s AMF finds a mix of good and bad practices in relation to MiFID II compliance following a thematic inspection at the beginning of the year

Apra releases paper to help with Bear compliance

Apra releases guidelines to help banks embed the country’s accountability regime into their everyday practices to improve conduct.

Tony Rooke

Climate change rises to become a systemic risk

Financial risks relating to climate change are rapidly becoming an important consideration within banks thanks to the TCFD, whose recommendations are starting to drive change in lending policies. By Justin Pugsley.

Positions harden over exchange data fees

War of words heats up over exchange data fees as SEC choses not to rule on whether they are excessive or not

ANNA sets up benchmarks task force to help develop identification codes

The Association of National Numbering Agencies is working with benchmark administrations to find ways to help with market adoption of identification codes

Flash crash

Tech proliferation echoes pre-crisis boom in complex derivatives

The proliferation of cognitive-type technologies is a new challenge for compliance teams to monitor, but their rapid development and complexity mean non-specialists are having trouble keeping up. By Justin Pugsley.

Jeremy Wilson

Barclays ‘DerivHack’ develops CDM post-trade derivatives model

A Barclays sponsored hackathon has potentially identified new paths for making post-trade derivatives processes more efficient using ISDA’s common domain model and may transform how the industry interacts with regulators. By Justin Pugsley