- SEC Thailand e-Enforcement tools (AI-Enforcement, Corporate Surveillance, E-link)
Solution · 1 December 2019
Big-data enforcement tools SEC Thailand has used since late 2019, described at a September 2021 media briefing. AI-Enforcement flags and visualises suspected trading misconduct such as price pushing…
- SC Malaysia Governance in a Glance (GiG)
Solution · 1 January 2018
Internal Securities Commission Malaysia system, in use since 2018, that uses natural language processing and machine learning to extract and score listed companies' corporate governance disclosures…
- Disclosure and Company Analysis and Anomalies Platform
Solution
The purpose of this tool is to assess and identify poor disclosure behaviour through disclosure and company analysis. The platform reads and analyses all relevant public information, including formal…
- Gabriel Makhlouf: Opening statement - Joint Oireachtas Committee on Finance, Public Service Reform and Digitalisation, and Taoiseach
Speech · 11 June 2025
Opening statement by Mr Gabriel Makhlouf, Governor of the Central Bank of Ireland, before the Joint Oireachtas (National Parliament) Committee on Finance, Public Expenditure and Reform, and Taoiseach…
- François Villeroy de Galhau: How to develop a "financial Eurosystem" post-Brexit
5 April 2019
Closing remarks by Mr François Villeroy de Galhau, Governor of the Bank of France, at theEurofi High Level Seminar 2019, Bucharest, 5 April 2019.The views expressed in this speech are those of the…
- Financial disclosure in the banking, insurance and securities sectors: issues and analysis
Report · 24 May 2004
Summary of document history Previous versionPreviousconsultationThis versionSubsequentconsultationSubsequentversionThis versionBCBS | Sound practices | 24 May 2004 | Status: CurrentPDF full text…
- CGFS releases report on role of ratings in structured finance
News · 17 January 2005
Press release | 17 January 2005The Bank for International Settlements is today releasing the latest report from the Committee on the Global Financial System (CGFS)1 entitled The role of ratings in…
- Acquiring Patents in Secret: Disclosure Timing in Markets for Technology
Report · 30 April 2025
Markets for technology provide a vibrant channel through which firms purchase ownership rights to patented inventions. Although such transactions enable firms to secure access to intangible assets…
- AFM CASPs Advertising and Cost Disclosure Monitoring
Report
A live conduct supervision application that systematically reviews crypto-asset service providers’ websites and advertisements for compliance with MiCAR disclosure requirements, identifying…
- Mário Centeno: Global capital markets - understanding the future
Speech · 5 November 2021
Opening remarks by Mr Mário Centeno, Governor of the Banco de Portugal, at the Conference "Global capital markets - understanding the future", Lisbon, 5 November 2021.The views expressed in this…
- Ong Chong Tee: Opening remarks - SIAS Corporate Governance Digital Symposium
12 October 2020
Opening remarks by Mr Ong Chong Tee, Deputy Managing Director (Financial Supervision) of the Monetary Authority of Singapore, at the SIAS Corporate Governance Digital Symposium, 12 October 2020.The…
- Pentti Hakkarainen: Shadow banking - what kind of regulation for the (European) shadow banking system?
Speech · 3 September 2014
Notes by Mr Pentti Hakkarainen, Deputy Governor of the Bank of Finland, for the panel discussion at the SAFE Summer Academy 2014 "Shadow Banking: Evolution, Background, Perspectives", Brussels, 3…
- Point of Sale disclosure in the insurance, banking and securities sectors
Standard or Guidance · 30 April 2014
Summary of document history Previous versionPreviousconsultationThis versionSubsequentconsultationSubsequentversionThis versionBCBS | Guidelines | 30 April 2014 | Status: CurrentPDF full text (391kb)…
- BaFin Market Abuse Alert System
Solution
BaFin's Market Abuse Alert System is an AI-augmented surveillance platform that analyzes mandatory bank-reported securities transaction data, ad-hoc issuer disclosures, directors' dealings…
- Human face of regulation
Speech · 10 April 2013
The creation of the FCA – the new financial conduct regulator – is a direct response to what hasn’t worked. Time and again over the last 20 years we have had major scandals – pensions, endowments…
- Joint statement by the FCA, FRC and PRA
News · 26 March 2020
Please see our latest joint statement from the FCA and Financial Reporting Council (FRC) and our summary of measures page. The coronavirus (Covid-19) pandemic is an unprecedented situation but it is…
- Occasional Paper No. 27: Benchmark regulation and market quality
Report · 30 July 2017
Occasional Paper No. 27 (PDF) We have published this Occasional Paper alongside an Insight article - The power of benchmarks: an analysis of the ice swap rate. Find out more about Occasional Papers…
- Survey of disclosures about trading and derivatives activities
30 November 1998
Press release | 30 November 1998The Basle Committee and the IOSCO Technical Committee issue survey report on trading and derivatives disclosure of banks and securities firmsThe Basle Committee on…
- Extending the Scope of Prudential Supervision: Regulatory Developments During and Beyond the 'Effective' Periods of the Post BCCI and the Capital Requirements Directives
Report · 17 January 2010
The main argument of this paper is, namely, the need for greater emphasis on disclosure requirements and measures – particularly within the securities markets. This argument is justified on the basis…
- A Regulatory Surveillance Blueprint for Addressing India's OFS Leakage Issue
Blog · 14 August 2025
Research analysing 39 OFS cases on India's National Stock Exchange (2012-2023) revealed concerning floor price information leakage, particularly affecting public sector undertaking companies. The…
- SEC Announces Cyber and Emerging Technologies Unit to Protect Retail Investors
News · 21 February 2025
The SEC has created CETU to combat cyber-related misconduct and protect retail investors. The 30-person team will focus on fraud prevention in emerging technologies, including AI, blockchain, social…
- AI and Supervision: Insights Learned From AMF Experiments on the Possibility of Automated Processing of Regulatory Reporting
Report · 7 March 2025
The AMF shares the lessons learned from its latest experiments with automated processing of regulatory data. Following an initial study conducted in 2022 on automating the processing of risk…
- Cambodia unveils 10-year securities market master plan to expand capital markets
Roadmap · 25 July 2025
The Securities and Exchange Regulator of Cambodia's roadmap, launched on 16 July, proposes expanding listings, diversifying investment products, launching new financial instruments, and modernising…
- From IPOs to ICOs: The Impact of Blockchain Technology on Financial Regulation
Report · 11 June 2018
In this paper, by comparing initial public offerings (IPOs) and initial coin offerings (ICOs), we study the impact of blockchain technology on financial regulation. After an initial study of the…
Showing 1–24 of 44 resources.