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

Brexit: industry looks beyond trade deal 

Nov 24, 2020

While the world holds its breath for an EU-UK trade deal, those working in financial services say it’s the aftermath that matters most to them 

SFTR: all eyes on Brexit

Nov 18, 2020

With phases one, two and three of the regime now live, market participants are turning their attention to post-Brexit compliance

Mifid II: has European regulation ever truly converged?

Nov 18, 2020

The regulatory world is focused on whether Brexit will lead to divergence, but differing interpretations of Mifid II highlight that the region is not as closely tied as it appears

UK Chancellor opens ‘new chapter’ in Brexit negotiations 

Nov 12, 2020

Chancellor Rishi Sunak has outlined a threefold plan for the future of UK financial services following the end of the transition period

Europe thinks Mifid II is in crisis. The truth is, no one knows

Nov 3, 2020

The EU Commission and Parliament are rushing changes to Mifid II in advance of the official review process. The question is how they are making these decisions

US election 2020: what a Biden/Harris admin would mean for the regulators

Oct 29, 2020

We asked a number of DC-based lawyers and experts what US financial regulators may look like under a Biden administration

US election 2020: what a Biden/Harris administration would mean for financial regulation

Oct 21, 2020

We asked a number of DC-based lawyers and experts what the financial regulatory space may look like under Joe Biden