Compliance

As Mifid II’s first birthday fast approaches, Practice Insight reviews the most creative interpretations of the rules to emerge so far, from periodic auctions to all-you-can-eat research packages

The EC has confirmed market rumours that it will be approving SFTR’s draft RTS within the week. Many firms will be caught off-guard, leaving some in noncompliance

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

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

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

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

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