All regulation news

Former Goldman Sachs employee in hot water with SEC

27 November 2015 Washington DC
Reporter: Stephanie Palmer

A former Goldman Sachs employee hired to develop software for preventing misconduct has been charged by the US Securities Exchange Commission for using his knowledge to conduct insider trading...

NeMa: Regulatory terrain difficult for foreign investors

26 November 2015 London
Reporter: Stephanie Palmer

Regulators in Africa should be more engaged with banks and custodians, and also with their western counterparts, according to Habib Motani, a partner at Clifford Chance...

Italian mandate for GoldenSource

24 November 2015 Verona
Reporter: Stephanie Palmer

Italian insurance group Cattolica Assicurazioni has selected GoldenSource’s Market Data Solution to improve pricing controls and accelerate reporting capabilities in preparation for Solvency II...

FCA tackles competition in asset management

23 November 2015 London
Reporter: Stephanie Palmer

The FCA has set out the areas of focus for its study of competition in the asset management industry, with the role of consultants and motivation for cost control featuring...

SEC proposes new alternative trading rules

20 November 2015 Washington DC
Reporter: Stephanie Palmer

The US Securities and Exchange Commission has proposed new rules intended to improve regulatory oversight and transparency of alternative trading systems that trade stocks on national market systems...

Panama on board with KYC Registry

18 November 2015 Panama City
Reporter: Stephanie Palmer

The Panama Banking Association has endorsed SWIFT’s Know-Your-Client (KYC) Registry...

ESMA asks for MiFID II delay

17 November 2015 Paris
Reporter: Stephanie Palmer

ESMA has requested a delay to MiFID II, with chair Steven Maijoor saying work on the regulation is “by no means finished”...

Time running out for FRTB updates down under

12 November 2015 London
Reporter: Stephanie Palmer

Some Australian banks should reconsider their business strategies in light of the Fundamental Review of the Trading Book, according to a white paper from Wolters Kluwer Financial Services...

Insurance Europe: The KID’s not alright

09 November 2015 Brussels
Reporter: Stephanie Palmer

Clear separation of costs is integral in the KID required for the PRIIPs regulation, in order for consumers to properly compare products, according to Insurance Europe...

CCPs must retain flexibility, says WFE

04 November 2015 Doha
Reporter: Stephanie Palmer

Overly prescriptive regulation could cause unnecessary constraint to CCPs, and could lead to more risk in the central clearing marketplace, according to a new report from the World Federation of Exchanges...

BCBS faces challenge over leverage ratio

30 October 2015 Basel
Reporter: Stephanie Palmer

A group of 13 derivatives exchanges and clearing members have signed a letter to BCBS urging it to address the unintended consequences of the leverage ratio using the current exposure method...

Linedata: The time is now for CRS

28 October 2015 Paris
Reporter: Stephanie Palmer

Investment managers and fund administrators should act now in order to be prepared for the OECD Common Reporting Standard ahead of the start of the first reporting period...

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