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.

UK FRF: five-year long slog for the industry  

Nov 29, 2021

As the UK maps out its extensive legislative reforms, market participants fear that the real post-Brexit work has only just begun

CSDR: more than a delay needed to improve settlement discipline

Nov 30, 2021

After several years of battling against the mandatory buy-in requirements, market participants are relieved by the European Commission’s decision but anticipate more permanent announcements  

Mifir legislative proposal clears way for EU consolidated tape

Nov 26, 2021

Creating a consolidated tape is an essential part of the European Commission’s bid for a capital markets union, but the final proposal, though largely welcomed by markets, still raises doubts

Time running out for IFPR readiness 

Nov 24, 2021

Lack of preparedness for the investment firms prudential regime could cause compliance issues next year, but sources say this is partly due to a persistent lack of clarity on rules

Brexit: extending CCP equivalence won’t be enough

Nov 14, 2021

Two major announcements by the Bank of England and the EU Commission last week put an end to months of deadlock, but sources say this is only a temporary remedy

FCA draws from EU experience with simplified sustainability disclosure requirements

Nov 9, 2021

The UK watchdog has released a discussion paper on SDR for asset managers and a new labelling system for sustainable investment products, which represent a streamlined version of EU rules

MAR compliance issues persist 

Nov 4, 2021

Brexit and Covid-19 have increased market abuse risk in the EU and UK, particularly in Ireland

Capital markets union key to attract more clearing into EU

Oct 26, 2021

Sources at ISDA’s 2021 Europe conference spoke of the importance for the EU to complete its CMU to secure a larger clearing market share