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 review: firms focus on EU-UK divide

Jan 19, 2022

Banks say the EU's preference for lit venues is at least partly driven by fierce lobbying from primary exchanges

Markets worry diluted EU taxonomy will fragment standards

Jan 17, 2022

The proposed inclusion of nuclear and gas into official definitions of green could lead to a more fragmented use of the taxonomy and prevent it from becoming a gold standard

Greater strides needed for EU capital markets union

Jan 12, 2022

The latest CMU package unveiled by the European Commission late last year is a step in the right direction but falls short of market needs, sources say

RCEP and CPTPP heighten data localisation concerns

Dec 30, 2021

Compared to the RCEP, the CPTPP has much stronger language in encouraging data flow and countries with data localisation requirements will find it difficult to comply with the pact

Best practice: what is a systematic internaliser?

Dec 23, 2021

Practice Insight explores the complexities of one of Mifid II’s controversial concepts as well as its future in a post-Brexit trading landscape

Mifir review: single volume cap will have marginal impact

Dec 15, 2021

The EU Commission’s proposal to change double volume caps to single ones for dark trading will simplify the rule but will have a limited effect on market structure, according to sources

UK on mission to attract investors with new open-ended fund

Dec 2, 2021

The introduction of the long-term asset fund (LTAF) last month has been hailed as a strong move but will need more support measures to support it, especially from a tax perspective

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