All regulation news

MiFID II unbundling compliance will be last-minute scramble for 85 percent

23 June 2017 London
Reporter: Stephanie Palmer

Asset managers are cutting it fine in compliance with research unbundling rules under MiFID II, with 85 percent saying they expect to be compliant in Q4 2017 or later, ahead of the January 2018 deadline

ICMA: NSFR will make EU repo less attractive

23 June 2017 London
Reporter: Drew Nicol

The association also point to increased automation of highly manual and labour-intensive processes of the market as a way to mitigate rising costs and create efficiencies

Broadridge takes on SFTR reporting requirements

20 June 2017 New York
Reporter: Stephanie Palmer

Broadridge is addressing trade reporting requirements set to come in with the Securities Financing Transaction Regulation, launching a new solution spanning the entire reporting lifecycle

European regulations still causing confusion

14 June 2017 Berlin
Reporter: Stephanie Palmer

The regulatory environment is breeding change, and complication, for both investors and fund managers, according to panellists at Fund Forum International in Berlin

EC proposes ‘two-tier’ approach to CCP regulation

13 June 2017 Brussels
Reporter: Mark Dugdale

EU legislators have proposed a massive overhaul of central counterparty supervision

European Commission hands more power to ESMA after CMU review

09 June 2017 Brussels
Reporter: Stephanie Palmer

The European Commission is to hand the European Securities and Markets Association more powers in order to improve the effectiveness of the Capital Markets Union

US Financial CHOICE Act passes House of Representatives

09 June 2017 Washington DC
Reporter: Drew Nicol

US President Donald Trump’s efforts to turn back the clock by gutting the bulk of post-crisis regulation took another step forward yesterday, with the House of Representatives passing the Financial CHOICE Act unopposed

FCA releases results of dividend arbitrage review

07 June 2017 London
Reporter: Mark Dugdale

Some UK-based firms engaged in dividend arbitrage may not be identifying the risk posed by contrived or fraudulent trading for the purpose of making illegitimate withholding tax reclaims, according to the FCA

EC’s forced relocation of euro clearing would weaken financial stability, says FIA

07 June 2017 London
Reporter: Stephanie Palmer

The Futures Industry Association has expressed “grave concerns” about the European Commission’s plans to force relocation of euro clearing

Accuity wins Afghan screening mandate

05 June 2017 London
Reporter: Stephanie Palmer

The First MicroFinance Bank, Afghanistan (FMFB-A) has selected Accuity to provide regulatory screening of customer accounts and cross-border transactions

Deutsche Bank fined $41m for lack of anti-money laundering deficiencies

31 May 2017 Washington DC
Reporter: Drew Nicol

Deutsche Bank is facing a $41 million penalty and a consent cease and desist order from the US Federal Reserve for “significant deficiencies” in its anti-money laundering management

Profile Software enhances services ahead of MiFID II

19 May 2017 Bern, Switzerland
Reporter: Becky Butcher

Profile Software has upgraded its web-based platform for wealth management, known as Axia, with new advisory service capabilities, ahead of implementation deadline of MiFID II's 3 January 2018 deadline.

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