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Hong Kong Exchanges and Clearing Limited Issues Consultation Paper on Clearing House Risk Management Reform Measures

Hong Kong Exchanges and Clearing Limited has released a consultation paper which details its internal review of its three clearing houses’ risk management measures, with particular focus on the stress testing methodologies and the adequacy of clearing houses’ financial resources when acting as centr

Originally Published:

Friday, July 1, 2011

Australian Corporations and Markets Advisory Committee Publishes Discussion Paper on Managed Investment Schemes

The Corporations and Markets Advisory Committee have released a discussion paper considering a range of matters concerning managed investment schemes.

Originally Published:

Thursday, June 30, 2011

SEC Reports on Oversight of and Compliance With Conditions and Representations Related to Exemptive Orders and No-Action Letters

In accordance with section 965 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 this report makes five recommendations that are intended to enhance the SEC’s oversight of compliance with conditions and representations in exemptive orders and no-action letters.

Originally Published:

Wednesday, June 29, 2011

Federal Reserve Board Reports on 2009 Interchange Revenue, Covered Issuer Cost and Covered Issuer and Merchant Fraud Loss Related to Debit Card Transactions

In accordance with section 920 of the Electronic Fund Transfer Act, as added by Section 1075 of The Dodd- Frank Wall Street Reform and Consumer Protection Act 2010 requires the Federal Reserve Board conduct a survey on interchange revenue, covered issuer cost and covered issuer and merchant fraud lo

Originally Published:

Wednesday, June 29, 2011

SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

The Securities and Exchange Commission today voted to propose rules that would impose certain business conduct standards upon security-based swap dealers and major security-based swap participants when those parties engage in security-based swap transactions.

Originally Published:

Wednesday, June 29, 2011

Government Accountability Office Report on Financial Literacy

Section 1013 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 directs the Government Accountability Office to study ways of improving financial literacy and the feasibility of certifying organisations that provide financial literacy.

Originally Published:

Tuesday, June 28, 2011

Asian Corporate Governance Association Letter to the Financial Services Agency on Capital Raising in Japan

The Asian Corporate Governance Association wrote to the Financial Services Agency of Japan on the issue of capital raising, addressing ongoing weaknesses in the country’s system of public offerings, rights issues and private placements, and made a series of recommendations for improving efficiency a

Originally Published:

Saturday, June 25, 2011

Government Accountability Office Reports On Prompt Corrective Action Framework

Section 202 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 requires Government Accountability Office to study federal regulators’ use of prompt corrective action.

Originally Published:

Friday, June 24, 2011

UK Treasury Consults on a New Approach to Financial Regulation

The UK government has published its latest consultation document on regulatory reform, which includes a draft of the Financial Services Bill and explanatory notes and builds on the Government’s initial thinking set out last July and a further consultation document which followed in February 2011.

Originally Published:

Thursday, June 16, 2011

European Commission Consultation Document on a New European Regime for Venture Capital

The European Commission Directorate General Internal Market and Services has published a consultation paper on a new European regime for venture capital which aims to address the two problems that venture capital funds that intend to raise funds and invest on a cross-border basis in the EU are confr

Originally Published:

Wednesday, June 15, 2011

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