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.

SFTR: industry has made progress, but lacks clear guidelines

Sep 19, 2019

With the Securities Financing Transactions Regulation set to go live in four phases next year, many are still concerned the industry is not ready

Libor transition: swaps market needs more time

Dec 5, 2019

Following the FCA’s announcement that Sonia swaps should become the norm as of Q1 2020, opinions diverge on how achievable this is

Mifid II: market wants research unbundling review

Dec 3, 2019

Market participants have opposed comments by Esma chair Steven Maijoor, who claims a full review of research unbundling rules is still premature

Industry seeks permanent decision on CCP equivalence

Nov 28, 2019

The European Commission’s Valdis Dombrovskis recently announced the extension of UK central clearing counterparty equivalence beyond March 2020, but market participants are calling for more clarity

Mifid II’s review path ahead

Nov 28, 2019

As regulators agree to a staggered review of the largest post-crisis regulatory overhaul, Practice Insight gathers the industry’s wishlist and expectations

Away from equities: Mifid II, Priips struggle in fixed income, derivatives

Nov 28, 2019

Market participants argue that regulations are difficult to implement because they are created for one asset class then applied to all

Sonia loans market starts building momentum

Nov 21, 2019

As Deutsche Bank announces its first Sonia loan and the Loan Market Association puts out exposure draft contracts, it seems the loan market is slowly picking up pace on the Libor transition

Libor transition: second ‘Dear CEO’ letter makes banks more proactive

Nov 21, 2019

Bankers say that the FCA’s communication has contributed to a Q4 ‘uptick’ in transition-related activities