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.

Initial margin delay allows firms to refocus efforts

Apr 9, 2020

The UMR rules are the latest of a string of regulations to be pushed as a result of Covid-19, allowing phase 5 and 6 firms additional time to prepare compliance programmes

SOFR: commercial real estate first acts as proof of concept

Sep 23, 2020

The Freddie Mac financing is the first SOFR-indexed interest rate cap to be executed and should give the sector confidence as it looks to move new loans away from Libor

Fixing the plumbing: Trading venues prepare for post-Brexit transaction reporting issues

Sep 22, 2020

Exchanges are concerned that they will have to rely on buyside reports after Brexit. Whether that’s fair depends on who you ask

Virtual research will outlast the pandemic

Sep 15, 2020

Covid-19 has sped up a process that started with Mifid II. The question now is how much buyside firms are willing to pay for it

CSDR settlement discipline: could this be the end?

Sep 10, 2020

Esma recently postponed the settlement discipline regime by another year to 2022, leading some market participants to speculate on whether parts of it could be removed altogether

Investment Firms Prudential Regime could harm UK firms

Sep 10, 2020

Issues around the regime’s scope, timing and capital rules risk putting UK firms at a disadvantage with their EU counterparts

Mifid II: trading venues prepare for regulatory chaos

Sep 9, 2020

The separation of Mifid II into different reporting zones may heap an extra reporting burden onto UK trading venues

Best practice: Mifid II/Mifir, trading and transparency

Sep 3, 2020

Banks, asset managers, exchanges, legal experts and regtech firms reveal how the market has coped with the biggest reporting and transparency requirements