All regulation news

Pershing addresses new conflict of interest regulation

09 June 2016 Orlando
Reporter: Stephanie Palmer

BNY Mellon’s Pershing is addressing the US Department of Labor’s new Conflict of Interest Rule, developing a range of new solutions to help financial services firms with compliance...

ESMA invites comment on blockchain potential

03 June 2016 Paris
Reporter: Stephanie Palmer

The European Securities and Markets Authority has issued a distribution paper and public consultation on the potential usefulness of distributed ledger technology in securities markets...

French regulator launches fintech division

31 May 2016 Paris
Reporter: Stephanie Palmer

Autorité des Marchés Financiers has created a new division dedicated to responding to changes in the market relating to technological innovation in financial services...

Prime broker on board with RSRCHXchange

25 May 2016 London
Reporter: Stephanie Palmer

Boutique prime broker Global Prime Partners has mandated RSRCHXchange to give its clients access to institutional research content...

GFT launches new regulatory compliance tool

19 May 2016 London
Reporter: Stephanie Palmer

Consulting and software service provider GFT has launched its new Regulatory Change and Management Service, a tool for helping firms track regulatory changes in the industry...

EU confirms one-year delay to MiFID II

19 May 2016 Brussels
Reporter: Drew Nicol

The deadlines for the second Markets in Financial Instruments Directive have been officially pushed back...

ICBC to expand AxiomSL reporting relationship

17 May 2016 London
Reporter: Stephanie Palmer

The Industrial and Commercial Bank of China (ICBC) in London has extended its deal with AxiomSL to use the platform for additional regulatory reporting requirements...

European CCPs in ESMA stress test success

03 May 2016 Paris
Reporter: Stephanie Palmer

European central counterparties are generally well equipped to manage extreme negative developments in the market, according to the first ESMA EU-wide stress test report...

KNEIP: PRIIPS implementation time too tight

18 April 2016 Luxembourg
Reporter: Stephanie Palmer

As many as 95 percent of affected firms are “concerned” about the time scale of implementation of the PRIIPs regulation, according to a KNEIP survey...

Bolivian banks join SWIFT KYC Registry

14 April 2016 La Paz, Bolivia
Reporter: Stephanie Palmer

Bolivian banks connected to SWIFT are now using the Know Your Customer (KYC) Registry, marking further expansion of the registry in Latin America...

ESMA: No need for delay access rules for ETDs

13 April 2016 paris
Reporter: Stephanie Palmer

ESMA has said there is no need to exclude exchange-traded derivatives from the rules around non-discriminatory access to central counterparties under MiFID II and MiFIR...

FIA concerned over leverage ratio revisions

11 April 2016 Washington DC
Reporter: Stephanie Palmer

The FIA has expressed concern over proposed revisions to the Basel III leverage ratio framework, but has committed to continue working with the Basel Committee on the changes...

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