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.

Best practice: a guide to EU regulatory enforcement

Jul 17, 2019

A focus on money laundering unites all European national regulators. Practice Insight has created a handy jurisdiction-by-jurisdiction guide to enforcement practices in the top four financial centres, highlighting crossovers and divergence

DAC6 fixes tax loopholes but confuses banks and corporates

Jul 4, 2019

Two weeks ago, Practice Insight and International Tax Review revealed how loopholes in the Common Reporting Standard worked within international securities markets; this week we explore the problems with DAC6 – the EU regulation that is supposed to close the loopholes

STS securitisation interest grows, despite frustration

Jun 26, 2019

While still in its early days, more and more ABS issuers are seeking the simple, transparent and standardised label, according to lawyers and bankers

Mifid II: small US asset managers struggle with research unbundling costs

Jun 24, 2019

The provisions contained within the EU directive that require research to be paid for separately to execution are having an effect in the US

International securities markets create tax loopholes in CRS

Jun 20, 2019

A joint investigation by Practice Insight and International Tax Review has uncovered evidence of reporting gaps in the OECD's Common Reporting Standards and securities markets. Part two will be published next week

Big banks take lead in FRTB compliance

Jun 17, 2019

While larger firms look to fine-tune their work on the Fundamental Review of the Trading Book, medium-sized banks are considering more complete outsourcing solutions, according to banking and consultancy sources

Mifid II double volume caps: fragile equilibrium is temporary

Jun 6, 2019

Market participants are successively circumventing the rule that limits dark pool trading, though the new status quo could prove transitory if and when the regulator steps in

How Basel III is driving Europe's synthetic securitisation market

Jun 3, 2019

According to in-house sources, the capital requirement rules are behind the surprising growth of Europe's synthetic securitisation market