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.

RTS extension confusion delays SFTR

Jan 14, 2019

Banks are taking action and cutting back or reallocating their teams after a misunderstanding over the regulatory technical standards implementation date. It began with an Isla announcement

One year in: Mifid II’s most innovative solutions

Dec 18, 2018

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

EXCLUSIVE: Commission approving SFTR this week

Dec 11, 2018

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

Initial margin: custodians queue for legal blessing

Dec 6, 2018

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

Best practice: Mifid II research unbundling

Nov 27, 2018

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

Initial margin: custodians feel the heat

Nov 22, 2018

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

Market searching for Mifid II best practice

Nov 22, 2018

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

Initial margin: threshold changes raise cost concerns

Nov 12, 2018

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