All regulation news

SimCorp: MiFID II remains a concern for buy-side firms

02 November 2017 London
Reporter: Becky Butcher

Some 28 percent of buy-side representatives are still unsure if and how their firm will be affected by MiFID II, just 90 days before the implementation deadline, according to a SimCorp survey

SEC grants relief to US brokers on MiFID II

27 October 2017 New York
Reporter: Theo Andrew

The relief will also allow investment advisers to continue to aggregate orders for the purchase and sale of securities, with some clients paying different amounts for research

DTCC enhances its European GTR for SFTR

24 October 2017 New York
Reporter: Jenna Lomax

The new SFTR enhancements will be a significant addition to the existing reporting capabilities, affecting 45 regulators around the world who have access to GTR data

No further SFT regulations on the horizon, says European Commission

20 October 2017 Paris
Reporter: Jenna Lomax

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US appeals court dismisses US equity lending mismanagement case

20 October 2017 Missouri
Reporter: Drew Nicol

Allegations of mismanagement of a securities lending programme brought by two US Bank pension beneficiaries was dismissed by the US Court of Appeals for the Eighth Circuit this week

Margin rules depress derivative contract terms, survey finds

19 October 2017 Brussels
Reporter: Jenna Lomax

Only few changes were reported regarding credit terms and conditions with respect to non-centrally cleared OTC derivatives

Trax gains MiFID II ARM licence from UK FCA

29 September 2017 London
Reporter: Drew Nicol

Reporting solution provider Trax is among the first to be approved by the UK FCA as an approved reporting mechanism (ARM) for transaction reporting services under MiFID II

Shadow banking will not be banned, confirms IMF

26 September 2017 Helsinki
Reporter: Jenna Lomax

The IMF, along with the FSB and other regulatory bodies, have no desire to shut down the alternative financing industry but that some aspects of the market’s risk features must be managed

AcadiaSoft expands user base for IM compliance

21 September 2017 Massachusetts
Reporter: Drew Nicol

The second phase of the IM rules went live on 1 September under the regulatory framework of BCBS and IOSCO

FCA takes pragmatic approach to MiFID II deadline

20 September 2017 London
Reporter: Drew Nicol

The UK’s financial conduct authority has indicated it will accept a soft roll out of the second Markets in Financial Instruments Directive in January

Ten-year T2S saga comes to an end

19 Septemeber 2017 Brussels
Reporter: Stephanie Palmer

The Target2-Securities pan-European harmonised settlement platform is finally fully operational, as the Spanish and Baltic markets completed their migration yesterday

Margin rules changing collateral industry, says ISDA

19 September 2017 London
Reporter: Drew Nicol

New margining rules for non-cleared derivatives are significantly changing collateral practices, according to the International Swaps and Derivatives Association

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