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.

Initial margin delay allows firms to refocus efforts

Apr 9, 2020

The UMR rules are the latest of a string of regulations to be pushed as a result of Covid-19, allowing phase 5 and 6 firms additional time to prepare compliance programmes

Mifid II divergence will come from EU, not UK

Jun 30, 2020

European market participants believe that if anything is going to change about Mifid II, it will be continental regulators’ relationship with unbundling – not the other way around

Covid-19 puts IFRS9 loan provisioning at risk

Jun 25, 2020

The latest international financial reporting standard changed the rules for loan accounting but, now more than ever, these are being called into question

Mifid II: systematic internalisers defend themselves

Jun 25, 2020

Regulators have criticised SIs recently for taking business away from lit exchanges, but banks and ELPs argue that they are making a valuable contribution

Mifid II: lingering data issues are key impediment to consolidated tape

Jun 18, 2020

Whichever way the CTP debate goes next, data standardisation and normalisation are two sine qua non conditions without which a tape would be useless

Mifid II and research unbundling: everybody calm down

Jun 17, 2020

Despite recent reports, European investment research is not going to be rebundled

Mifid II: debate still rages over consolidated tape

Jun 10, 2020

As the Mifid II review follows its course, mixed messaging and diverging opinions continue to dominate discussions around the creation of an EU CTP

SFTR v Mifid II: central bank repo reporting still problematic

Jun 3, 2020

Esma recently approved proposals made by Icma for the reporting of repo transactions with central banks under Mifid II, but challenges remain