Compliance

Compliance


News analysis on how banks, asset managers and trading venues are implementing new rules, from the changing nature of market structure under Mifid II, to how firms are grappling with transparency obligations and transaction reports.

Divergent approaches to Libor tough legacy create litigation risks 

Mar 15, 2021

The UK, EU and US are still adjusting their proposed methodology to tackle tough legacy contracts, but sources say the inherent lack of harmony between regimes could lead to legal conflicts down the line

Brexit highlights need for consolidated tape

Mar 31, 2021

Market participants expect the Mifid II review to mark the beginning of a viable consolidated tape project in the near future

Debate still rages over post-Brexit euro clearing

Mar 3, 2021

A series of announcements over the past few days has placed the issue at the centre of discussions on the future of EU and UK financial services

Mifid II pushes OTC derivatives trading to unregulated cloud

Mar 2, 2021

The ambition to bring transparency to all areas of the financial market has fundamentally altered the way they operate, but some OTC derivatives are still slipping through the cracks

EU post-Brexit landscape begins to shape up 

Feb 23, 2021

Changes resulting from Brexit will continue to unfold for years to come, but early features of the new financial services landscape have started to emerge, with Amsterdam taking a strong lead

Brexit creates golden opportunity for EU CCPs 

Feb 18, 2021

The European Commission's encouragement to move positions away from UK CCPs is creating an unprecedented chance for EU clearinghouses to increase their market share

Mifid II/Mifir review will be both broad and technical

Feb 8, 2021

As this year’s much-anticipated review draws closer, Tilman Lueder, head of the securities markets unit at the European Commission, reveals priority areas

NY budget’s SOFR fallback proposal faces backlash

Jan 27, 2021

Provisions within Governor Cuomo’s budget to make fallbacks to the rate mandatory have been met with objections, but sources argue the decision is good for the industry