Conduct

Conduct


News analysis on how banks and asset managers are implementing conduct-focused rules, including investor protection under Mifid II’s product governance frameworks and the integrity of Libor.

SMCR: Covid-19 could impact firms’ compliance

May 12, 2020

As working from home increasingly becomes the new norm in the financial services sector, market participants discuss the effects this could have on SMCR compliance

MAR: Covid-19 calls for increased surveillance within firms

Jun 4, 2020

The FCA recently said it expected market abuse cases to be on the rise throughout the coronavirus crisis, warning market participants that they should enhance their monitoring and controls

Banks: Libor transition will happen sooner than end-2021

Jun 1, 2020

Goldman Sachs and Wells Fargo urge market participants to think of the movement in liquidity to alternative reference rates as the true transition date

Mifid II: European Commission reviews collide

May 28, 2020

Market participants are concerned by a shift in the EU’s priorities and what that means for the future of research unbundling

Coronavirus highlights risk-free rates advantages for corporates

May 27, 2020

Corporates have welcomed the usage of risk-free rates, which go down in times of crisis while the credit risk used to calculate Libor goes up

Mifid II and lit exchanges: LIS waivers only?

May 26, 2020

Market participants believe that the directive’s aim to push trading onto venues will harm end investors

EU banking regulation: striking a balance

May 21, 2020

A number of capital relief measures for banks were recently proposed by the European Commission. Practice Insight asked market participants whether they think the authorities got it right

Libor: interim delays are no licence to relax

May 19, 2020

UK regulators have granted temporary relief on some of the transition’s milestones this year, but market participants should stay focused as the end-2021 deadline is unlikely to change