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.

Mifid II: market demands position limits revision

Jan 30, 2020

Traders and industry bodies want regulators to revisit rules for commodity derivatives under Mifid II, which they say have damaged liquidity. Here they set out exactly what they're asking for

Initial margin: firms look to optimise as phase 5 nears

Mar 26, 2020

As the next phase of uncleared margin rules approach, many firms not currently affected are taking steps to avoid falling under its scope

Emir reporting: new guidelines are good but need wider takeup

Mar 26, 2020

Industry associations Isda and the FIA recently published new best practice guidelines on Emir reporting, but their effect could be limited if not widely adopted

Planned €STR June discounting switch will go ahead 

Mar 19, 2020

Notwithstanding the domino effect that Covid-19 is already having on numerous areas of the financial market, European CCPs expect their discounting switch to be executed on time

EXCLUSIVE: Coronavirus could cause SFTR delay

Mar 17, 2020

Today international industry bodies Icma and Isla have united via a joint letter asking regulators to delay the regime’s go-live date next month

Mifid II: IRPs and small banks express fear and hope for research pricing’s future

Mar 11, 2020

The lack of SME research is a key issue that's unlikely to be addressed, but pricing may be revisited during the Brexit negotiations

CSDR: delay of settlement discipline fails to satisfy market

Mar 4, 2020

The authorities recently gave market participants a three-month extension to apply the new regime, but many suggest this is an insufficient solution

Is Mifid II really to blame for SME research dip?

Mar 2, 2020

Buyside firms and research providers welcome the European Commission’s latest proposal for an exemption but feel it’s unlikely to make a difference