Tag archive for ‘Reporting’
Chris Pickles
By Steve On Thursday, May 7th, 2015

Regulatory Reporting and Instrument Identification in APAC

Chris PicklesFor financial institutions in countries in the EU or the USA, it can be hard to imagine the complexities of regulatory reporting in the Asia/Pacific region. The USA may have multiple regulators (eg More...

By Steve On Thursday, October 9th, 2014

HK SFC Urged Market Participants To Comply With Short Position Reporting

Ashley Alder, HK SFC CEO –The Securities and Futures Commission (SFC) on 9 October reminds all market participants to comply with the requirements under the Short Position Reporting Regime (Regime) after the More...

By Steve On Monday, September 29th, 2014

ASIC OTC derivatives trade reporting requirement

Greg Medcraft ASIC chairman –A key part of ASIC’s OTC derivatives reform program is the requirement that OTC derivative transactions be reported to trade repositories. This information will be accessed by More...

By Steve On Friday, July 25th, 2014

ASIC Consults On Technical Changes To Trade Reporting Obligations for OTC Derivatives

Greg Medcraft ASIC chairman – ASIC is seeking feedback on proposed revisions to the rules that require the mandatory trade reporting of over-the-counter (OTC) derivatives such as interest rate swaps. The proposals More...

By Steve On Monday, July 21st, 2014

Joint HKMA-SFC Consultation On Mandatory Reporting And Related Record Keeping Rules For OTC Derivatives Market

Ashley Alder, HK SFC CEOThe Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) on 18 July began a one-month consultation on the detailed requirements relating to the mandatory reporting More...

By Steve On Sunday, July 14th, 2013

ASIC Implements Reporting Regime Under OTC Derivatives Reform

Greg Medcraft ASIC chairmanFinal rules around over-the-counter (OTC) derivatives trade reporting obligations of financial institutions and the regulation of derivative trade repositories in Australia have been released. The More...

By Steve On Sunday, April 28th, 2013

Chi-X Australia: Trade Reporting Service

John Fildes CEO Chi-X AustraliaAs participants will be aware ASX has capped its fees for its trade reporting service to a maximum of $1,000 per month per participant. Chi-X has considered this matter and in the More...

By Steve On Monday, June 25th, 2012

SocGen Bank & Trust goes live with FRSGlobal Singapore and Hong Kong Regulatory Reporting

Steve Thurley, Vice President Asia FRSGlobalWolters Kluwer Financial Services announced today that Société Générale Bank & Trust has gone live with its FRSGlobal regulatory reporting solution. Société More...

By Steve On Tuesday, June 19th, 2012

Short Selling Regulation Made More Robust via Reporting Implementation

Ashley Alder, HK SFC Chief Executive OfficerWith effect from June 18, market participants are required to report short positions to the Securities and Futures Commission (SFC) under the Securities and Futures (Short More...

By Steve On Friday, June 1st, 2012

HK SFC Announces the Commencement of Short Position Reporting

The Securities and Futures Commission (SFC) announced June 1 that the Securities and Futures (Short Position Reporting) Rules (Rules), except for publication of the aggregated short positions data under Rule 6, More...

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