All regulation news

Institutions should review obligations ahead of SDR

18 September 2019 London
Reporter: Jenna Lomax

All actors in an institution should review their obligations and make the necessary operational changes ahead of the enforcement of the Settlement Discipline Regime (SDR), according to Deutsche Bank

CTIM picks Northern Trust for transaction reporting

12 September 2019 London
Reporter: Jenna Lomax

Charles Taylor Investment Management has selected Northern Trust to provide its integrated trading solutions and assisted second Markets in Financial Instruments Directive transaction reporting

REGIS-TR falls foul of EMIR reporting rules

22 August 2019 Luxembourg
Reporter: Drew Nicol

The authority outlined that REGIS-TR “did not implement systems capable of providing to regulators direct and immediate access to derivatives data from the start of EMIR reporting obligation in February 2014 to October 2016”

AMF seeks to improve small and mid-cap coverage under MiFID II

15 July 2019 Paris
Reporter: Jenna Lomax

The implementation of the second Market in Financial in Instruments Directive has altered the market economy of research and brings the issue of small caps and mid caps coverage into focus, according to the AMF

TNF: Regulation is both a help and a hindrance

12 June 2019 Athens
Reporter: Maddie Saghir

Regulation is both a help and a hindrance, according to one panellist at The Network Forum in Athens

ESMA publishes updated Q&As for AIFMD, UCITS and transparency issues for MiFID II

05 June 2019 Paris
Reporter: Jenna Lomax

The European Securities and Markets Authority has published updated Q&As on the application of the Alternative Investment Fund Managers Directive and the UCITS Directive

Broadridge expands solution for Shareholder Rights Directive

05 June 2019 London
Reporter: Jenna Lomax

Broadridge Financial Solutions has added efficiencies to its solution to support both institutional- and retail-focused intermediaries for global proxy voting, in preparation for the European Commission’s updated Shareholder Rights Directive

Widespread errors present in UK MiFIR transaction reporting

03 June 2019 London
Reporter: Jenna Lomax

More than 1,300 Markets in Financial Instruments Regulation transaction reporting error and omission notifications were received by the Financial Conduct Authority in 2018, according to analysis by Duff & Phelps