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.

Best practice: Mifid II research unbundling

Nov 27, 2018

Our new free-to-read series gives the inside story on how your competitors are implementing new rules. First up is how firms on both the buy and sellside are managing research budgets, pricing, consumption and coverage

Initial margin: custodians queue for legal blessing

Dec 6, 2018

Delays in custodian and collateral counterparties’ legal opinions put KYC and due-diligence timelines at risk. Here banks explain how they’re managing the process

Initial margin: custodians feel the heat

Nov 22, 2018

Custodian banks are under pressure to ensure they are ready for the phase four initial margin March 2019 deadline, but juggling various legal agreements, KYC checks and Brexit isn’t easy

Market searching for Mifid II best practice

Nov 22, 2018

The far-reaching directive continues to cause headaches globally, preventing compliance teams from moving on to other projects. They say best practice standards are needed

Initial margin: threshold changes raise cost concerns

Nov 12, 2018

Phase four and five firms are worried that the costs and efforts preparing for uncleared margin rules will be gone with the wind, especially following the CFTC’s threshold announcement

CSDR will damage European securities trading

Nov 1, 2018

Some banks are advising clients to avoid settling on an EEA depository where possible to avoid the controversial mandatory buy-in regime. That approach may become more credible post-Brexit

Asset managers still aren’t preparing for Brexit

Oct 31, 2018

Almost half of UK-based buyside firms haven't started yet with just months to go, according to in-house lawyers. Here the Central Bank of Ireland's asset management director responds

Mifid II: systematic internalisers face uneven playing field outside EU

Oct 18, 2018

SIs say that non-EU counterparts don’t want to trade with them anymore over information leakage fears as more extraterritorial results emerge