All regulation news

CFTC offers respite from 1 March margin deadline

16 February 2017 Washington DC
Reporter: Drew Nicol

Swaps dealers have been gifted a seven-month grace period to finalise their compliance infrastructures for the new variation margin requirements set to come into force on 1 March

FCA seeks feedback on UK capital markets

14 February 2017
Reporter: Stephanie Palmer

The UK Financial Conduct Authority has issued a discussion paper seeking feedback on how the UK capital markets can most effectively meet the needs of issuers and investors

Wolters Kluwer wins CIBC reporting mandate

09 February 2017 Toronto
Reporter: Stephanie Palmer

CIBC has extended its mandate of the Wolters Kluwer OneSumX regulatory reporting solution to the Asia Pacific region

Trump puts Dodd-Frank on the firing line

06 February 2017 Washington DC
Reporter: Drew Nicol

President Trump has paved the way for sweeping a regulatory overhaul by signing an executive order giving the the Treasury broad powers to scrap rules that do not comply with the administration’s ‘core principles’...

Brexit whitepaper hints at ‘third-country’ status

02 February 2017 London
Reporter: Mark Dugdale

The UK could adopt ‘third-country’ status in financial services upon its exit from the EU, according to the long awaited Brexit whitepaper...

UK and US regulators round on Deutsche Bank

31 January 2017 London
Reporter: Stephanie Palmer

Deutsche Bank is set to pay a total of around $628.1 million to the UK’s Financial Conduct Authority and the New York State Department of Financial Services to settle charges around failings in its AML framework...

US and Hong Kong augment data sharing deal

20 January 2017 Washington DC
Reporter: Drew Nicol

The US Securities and Exchange Commission has renewed its ties with the Hong Kong Securities and Futures Commission to further strengthen oversight of entities operating in both markets...

Morgan Stanley settles over custody rule violation

16 January 2017 Washington DC
Reporter: Stephanie Palmer

Morgan Stanley has agreed to pay $13 million to settle charges from the SEC that it overbilled investment advisory clients and violated the custody rule relating to annual surprise examinations...

KDPW gains LEI issuer accreditation

10 January 2017 Warsaw
Reporter: Stephanie Palmer

KDPW, the Polish central securities depository, has been granted accreditation to issue legal entity identifier codes by the Global Legal Entity Identifier Foundation...

AIC recommends abolishing AIFMD post-Brexit

09 January 2017 London
Reporter: Stephanie Palmer

The Association of Investment Companies (AIC) has recommended that the UK government scraps the Alternative Investment Fund Managers Directive following its exit from the EU...

Deutsche Bank and Credit Suisse pay for RMBS

23 December 2016 New York
Reporter: Mark Dugdale

The US Department of Justice has agreed settlements with Deutsche Bank and Credit Suisse over the sale of residential mortgage-backed securities worth more than $10 billion, and brought civil charges against Barclays...

Credit rating agencies get SEC seal of approval

22 December 2016 Washington DC
Reporter: Stephanie Palmer

US credit rating agencies are improving their systems for regulatory compliance and increasing competition, according to the Securities and Exchange Commission...

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