All regulation news

SEC proposes shake up of best execution rules

15 December 2022 US
Reporter: Bob Currie

The US Securities and Exchange Commission has proposed implementation of a best execution regulatory framework that will fall under the Commission’s own rule-book, along with steps to tighten up insider-trading rules

Majority of firms are not ready for CFTC Rewrite, says S&P Global Market Intelligence survey

16 November 2022 Global
Reporter: Carmella Haswell

The Global Regulatory Reporting Survey data was collected during August and September 2022 from 89 respondents from banks, asset managers and brokers

SRD regulation remains unclear, CorpActions panellists say

15 November 2022 UK
Reporter: Lucy Carter

The Shareholder Rights Directive (SRD) should be made a regulation rather than remaining as a directive, according to a panellist at this year’s CorpActions conference in London.

iBanFirst picks Fenergo’s CLM and KYC solution

09 November 2022 UK
Reporter: Lucy Carter

Fenergo’s solution will be integrated into iBanFirst’s Salesforce customer relationship management, streamlining KYC and anti-money laundering compliance and improving the end-to-end cross-border payments process for customers

REGIS-TR partners with Nfq for regulatory compliance

08 November 2022 Luxembourg
Reporter: Lyndsey Young

REGIS-TR adds Nfq to their partnership programme as it continues to expand in the European regulatory reporting space

BlackRock expands Voting Choice programme with Proxymity

07 November 2022 US
Reporter: Lucy Carter

BlackRock has announced a partnership with Proxymity to expand its Voting Choice programme, the firm’s proxy voting system, offering a pilot scheme for individual investors in select UK mutual funds

FCA publishes pension dashboards rules

03 November 2022 UK
Reporter: Lucy Carter

The Financial Conduct Authority has published its pension dashboards rules for pension providers, effective 31 August 2023

JP Morgan launches Proxymity’s Vote Connect in Denmark

31 October 2022 Denmark
Reporter: Lucy Carter

The bank has invested in Proxymity since 2020, and is part of the consortium that owns the company

Apex expands Global Compliance Solutions to Australia

31 October 2022 Australia
Reporter: Lucy Carter

The solutions are currently available in more than 13 jurisdictions, with the Singapore and US markets most recently being included

REGIS-TR partners with Spain’s Cecabank

18 October 2022 Spain
Reporter: Jenna Lomax

Cecabank has previously worked with REGIS-TR as a long-term provider of regulatory solutions in the Spanish market

ESMA releases five-year roadmap

18 October 2022 France
Reporter: Lucy Carter

The European Securities and Markets Authority has published its 2023-2028 strategy, with three strategic priorities and two thematic drivers

Cross-border agreement on regulation essential, say ALFI panellists

18 October 2022 UK
Reporter: Lucy Carter

In the panel, ‘Let’s hear from the regulators’, current issues around regulation amid geopolitical crisis, the aftermath of a global pandemic, and Brexit were addressed

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