Siddharth Tiwari joins BIS as Chief Representative for Asia and the Pacific
The Bank for International Settlements (BIS) today announced that Siddharth Tiwari has joined the BIS as Chief Representative for Asia and the Pacific.
November 2018
IIROC to Begin Publishing Bankers’ Acceptance Rates
Investment Industry Regulatory Organization of Canada (IIROC) will begin publishing transaction-based one- and three-month Bankers’ Acceptance rates.
Financial Stability Between Aspiration and Reality – How Predictable is the Next Crisis?
Financial Stability Between Aspiration and Reality – How Predictable is the Next Crisis? Opening Statement by Felix Hufeld, President of the BaFin.
Financial Regulation in a Digital World
Financial Regulation in a Digital World, A speech by John Price, Commissioner, Australian Securities and Investments Commission at the Monash Centre.
Stock Research Firm and Co-Founders Charged With Deceiving Investors in Supposedly Unbiased Reports
The Securities and Exchange Commission today charged a stock research firm and its co-founders with defrauding investors by issuing reports purportedly.
J5 Countries Host Data ‘Challenge,’ Closing in on Enablers of Tax Evasion
This week, Canada Revenue Agency (CRA) officials participated in a five-nation challenge to optimize international coordination against tax evasion.
Court Orders Penalties and Other Relief Against Westpac for BBSW Conduct
The Federal Court of Australia today ordered Westpac Banking Corporation (Westpac) pay a pecuniary penalty of $3.3 million.
Ten Years After the Crisis: Evolving Markets and the Challenges for the SNB
Ten Years After the Crisis: Evolving Markets and the Challenges for the SNB. Andréa M. Maechler / Thomas Moser, Member of the Governing Board.
FINRA To Consolidate Examiners
"Our Examination and Risk Monitoring program is central to our efforts to protect investors and guard the integrity of markets.
ASIC Cancels AGM Markets Licence for Unconscionable Conduct and Unmanaged Conflicts of Interest
An ASIC investigation, ASIC has cancelled the Australian financial services (AFS) licence of the retail OTC derivative issuer, AGM Markets.
SEC Charges ITG With Misleading Dark Pool Subscribers
SEC Charges ITG With Misleading Dark Pool Subscribers to settle charges arising from ITG’s misstatements and omissions about the operation.
SEC Charges EtherDelta Founder With Operating an Unregistered Exchange
The Securities and Exchange Commission today announced settled charges against Zachary Coburn, the founder of EtherDelta a digital "token" trading platform.
National Survey: Investors Support Proposed IIROC Enforcement Alternatives
National Survey: Investors Support Proposed IIROC Enforcement Alternatives. Canadians favour flexible, proportionate approach to discipline.
RBNZ: Official Cash Rate Unchanged at 1.75 Percent
The Official Cash Rate (OCR) remains at 1.75 percent. We expect to keep the OCR at this level through 2019 and into 2020.
IIF and EY Release Ninth Annual Global Bank Risk Management Survey
IIF and EY Release Ninth Annual Global Bank Risk Management Survey, Risk Management Function Must Evolve to Become Trusted Advisors.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.