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.

Brexit: firms no longer interested in equivalence

Jan 21, 2021

Regulatory equivalence between EU and UK rules is a continuous source of contention for financial services, but sources say that they are past it

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

Financial services continue to operate in no-deal Brexit settings

Jan 18, 2021

Although a trade agreement has been signed between the EU and the UK, financial services firms say this has changed very little

Reflecting on attempts at Mifid II reform

Jan 4, 2021

After several years of articles on Mifid II, perhaps the most extraordinary thing is, you'll be be hearing even more about it next year

Authorities renew calls for €STR take-up

Dec 15, 2020

The ECB and other key figures of the EU benchmark transition have renewed appeals for market participants to speed up their adoption of the euro risk-free rate

‘We can make our rules simpler without compromising investor protection’: a Q&A with Steven Maijoor, ESMA 

Dec 10, 2020

Nearly ten years after taking up his role as chair of the European Securities and Markets Authority, and as he prepares to leave it, we asked Steven Maijoor to reflect on his tenure and consider future challenges

Covid-19 crisis will shape Mifid II review

Dec 9, 2020

The Mifid II quick fix was designed to help the industry recover from Covid-19. While its impact remains to be seen, the crisis it proposes to solve may also shape the larger review of the regime due in the new year

SRDII: lessons learnt from Covid-19 must not be forgotten

Dec 3, 2020

Covid-19 has brought its share of challenges for corporates, but there may yet be a silver lining in the learning curve that they have been through over this year