- Benoît Cœuré: The new frontier of payments and market infrastructure: on cryptos, cyber and CCPs
Speech · 15 November 2018
In this keynote delivered at the Economics of Payments IX conference, Benoît Cœuré, Chair of the Committee on Payments and Market Infrastructures (CPMI), outlines the "3C Challenge"—Cryptos, Cyber…
- Malaysia's SC Introduces Regulatory Sandbox to Facilitate Innovation
News · 18 February 2025
The Securities Commission Malaysia (SC) has unveiled its regulatory sandbox guidelines, offering a controlled environment for testing innovative capital market products and services. Applications…
- Framework for Monitoring and Supervision of System Audit of Stock Brokers (SBs) through Technology based Measures
News · 1 February 2025
Sebi has mandated stock exchanges to implement technology-based systems for monitoring and supervising stockbrokers' audit lifecycles, set to begin in FY 2025-26. This initiative will include secure…
- SC Seeks Public Feedback on Proposed Framework on Tokenisation of Capital Market Products
News, RFP · 7 May 2025
The SC has published a consultation paper on regulating tokenised shares, bonds and funds. The proposed framework aims to enable exploration of programmable assets and fractional ownership while…
- Risk-based Supervision Program for Securities Regulators from the Asia-Pacific
Training · 29 September 2025
Toronto Centre, in partnership with the International Organization of Securities Commissions (IOSCO), is offering a five-day virtual programme from 29 September to 3 October 2025 to enhance…
- United Kingdom and United States launch joint taskforce to tackle crypto and capital markets innovation
News · 22 September 2025
The UK and US governments have established the Transatlantic Taskforce for Markets of the Future to strengthen cooperation on digital assets, capital markets, and other emerging financial…
- Can Digital Technology Make Self-Listed Firms More Efficient?
Report · 24 March 2022
This article investigates if digital technology could allow corporations to trade their own shares more efficiently without the costs and unethical systemic dysfunctional governance processes…
- Regulation of Fixed Income Securities Markets in the United States
20 April 2016
Friedman looks at the development and regulation of the fixed income securities market in the United States. The U.S. fixed income market is one of the oldest and most developed debt markets in the…
- Legal Implications of the Establishment of the European Securities and Markets Authority
24 October 2011
The EU’s response to the financial crisis has encompassed the establishment of the new institutional architecture of European financial market supervision. Together with the other two created…
- Issue of Securities through Blockchain Technology
Report · 13 August 2019
Blockchain technology has become a buzz word in the financial market. The market of bitcoins and related instruments are being discussed and adopted. The use of blockchain technology has also started…
- The Evolution of ESMA and Direct Supervision: Are there Implications for EU Supervisory Governance?
Report · 18 May 2017
The European Securities and Markets Authority (‘ESMA’) was established over six years ago. It, and its sibling bodies for banking, and the insurance and occupational pensions sector, emerged from the…
- Public Supervision of Securities Markets in Europe: Still Running Behind the US?
31 August 2015
Peer reviewed article. The US and the EU financial markets share, by and large, the same size and level of complexity. However, the EU institutional architecture of securities supervision looks far…
- Supervision and Compliance of Brokerage Firms
15 May 2018
Brokerage firms are governed by a comprehensive set of rules and guidance regarding the firms supervision of its brokers. This article traces the supervision rules from their statutory origin through…
- Insurance, Banking and Financial Supervision in the Kingdom of Saudi Arabia (KSA) – A Survey
7 November 2020
Insurance, banking and financial supervision in Saudi Arabia is under the responsibility of the Central Bank of Saudi Arabia (which has the function of issuing the national currency, supervising…
- The Vanishing Supervisor
25 January 2015
This Article begins with two stories that are emblematic of related trends in broker-dealers: the importance of compliance officers and the significance of technology in the oversight of brokers and…
- Capital Market Supervision and Investor Protection: Romania in the European Context
18 December 2013
The core aim of this article is to give an overview of the domestic public supervision of securities markets in Romania and in the European Union in order to understand the role of Romania in the…
- FCA appoints executive directors to co-lead Enforcement and Market Oversight
News · 23 March 2023
The Financial Conduct Authority (FCA) has appointed Therese Chambers and Steve Smart as joint Executive Directors to lead its Enforcement and Market Oversight division. This strategic leadership…
- FCA publishes second consultation paper on the Markets in Financial Instruments Directive II implementation
Standard or Guidance · 28 July 2016
The Financial Conduct Authority (FCA) has released its second consultation paper (CP16/19) regarding the implementation of MiFID II in the United Kingdom. This sweeping regulatory overhaul, effective…
- The FCA’s second phase of reform of the Listing Rules: Increasing transparency and encouraging more market participation
Speech · 14 June 2022
In June 2022, Clare Cole, the FCA’s Director of Market Oversight, delivered a pivotal speech detailing the second phase of the Primary Markets Effectiveness Review. She argued that the UK’s listing…
- Statement on supervision of commodity derivatives position limits
Standard or Guidance · 20 December 2021
This statement sets out the supervisory approach of the Financial Conduct Authority (FCA) regarding commodity derivatives position limits under the MiFID markets regime following the end of the EU…
- Meeting the challenge in our changing global markets
Speech · 5 December 2025
In this keynote speech delivered at the UK Finance and EY conference, Sarah Pritchard, Executive Director at the FCA, outlines a strategic vision for maintaining the UK’s status as a premier global…
- BIS Banking in Asia Pacific
Blog
Since 2000, the Asian Office has provided real-time banking services to regional and non-regional customers, including managing their foreign exchange reserves and other banking services. The Asian…
- ICTportal
Solution
The ICT Reporting and Incident Management Portal at the National Bank of Moldova is planned to be a web-based platform designed to streamline the process of reporting and managing ICT incidents…
- International leadership program for securities supervisors.
Training · 29 July 2024
Organised by the Toronto Centre, this virtual program designed for mid- to senior-level staff and managers involved in regulation and supervision of the securities sector is set to occur between 29th…
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