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

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

Brexit: firms brace for immediate enforcement

Oct 13, 2020

Both the FCA and European regulators are suggesting that forbearance is likely to be in short supply in January 2021. The question is: will enforcement be driven by political considerations?

Market concerned by post-Brexit regulatory divergence

Oct 8, 2020

With just one quarter to go until the end of the transition period and limited progress on equivalence decisions, market participants are increasingly worried about future cross-border relations

CSDR: market wants optional buy-ins

Oct 7, 2020

A recent industry poll revealed that many market participants would be in favour of making the settlement discipline regime’s buy-in element non-mandatory

Initial margin: inertia could lead to phase five bottleneck

Oct 1, 2020

Sources suggest that firms due to start reporting in phases five and six have made little progress despite being given an extra year to make the necessary preparations

Covid-19 struck consolidated tape regains attention as market seeks clarity

Sep 30, 2020

The pandemic considerably slowed down market efforts to push the debate forward, but some new FIX definitions could help spur momentum again

EU and UK grappling for clearing continues

Sep 29, 2020

European access to London CCPs has been extended for another 18 months – and will likely be extended again



Special reports


Latest report

Following more than 40 hours of interviews with 63 sources across financial services, Practice Insight’s landmark investigation into the accumulative impact of the financial crisis is now available