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What FinReg Has in Store for Q1 2021

By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog

We highlight what to expect this quarter and recap Q4’s key regulatory developments.

What could change …

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Build Back Better: Can ELTIFs Thrive Second Time Around?

By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog

“Don’t think there are no second chances. Life always offers you a second chance, it’s called tomorrow.”…

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All US Bank Regulators Should Require Banks to Incorporate Climate Change Risks Into Their Risk Management Frameworks and Disclosures

By Mayra Rodriguez Valladares, MRV Associates
Originally published in Forbes


It is imperative that banks incorporate climate change risks in every aspect of their day-to-day risk management so that they …

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Top 10 On The Regs Takeaways 2020

By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog


At the outset of 2020, I suggested that it would be a year defined by clarity …

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Financial Stability Oversight Council Is Missing an Opportunity to Enhance Preparedness and Response to Financial Stability Risks

By Mayra Rodriguez Valladares, MRV Associates
Originally published in Forbes


In analyzing the leveraged lending and Collateralized Loan Obligation (CLO) markets, the U.S. Government Accountability Office found there are more …

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US Derivatives Rule: Three Things to Know

Originally published on Citi Securities Services Insights

Here are some of the key things that asset managers should know about the SEC Derivatives Rule.

On 28 October, the Securities and …

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Is bitcoin becoming respectable?

By Chris Skinner
Originally published at Chris Skinner’s blog, The Finanser

As bitcoin’s pricing goes up and down as usual – almost $18,000 today (who bought a few for a …

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Location, Location, Location: Two Key CP86 Questions Clarified (Kind Of!)

By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog

2020 has been a year like no other. One contradictory aspect of this year’s enforced lockdown …

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Reporting on LEI Progress – December 2020

By Allan D. Grody, Financial InterGroup
Originally published on the Financial InterGroup site

Below is a research note from Allan D. Grody of Financial InterGroup on the continued adoption of …

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Sitting on the Dock of the Bay: Hong Kong’s Next Great Opportunity

By Philip Chiang and Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog

Otis Redding famously wrote his laid-back classic, “Sitting on the Dock of the Bay” …

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  • EU to Drill Into “Dog’s Dinner” of Share Trading Data

  • Trading Heads Call for Reform of Double Volume Caps

  • Reflecting on Attempts at MiFID II Reform

  • UK Offers Unlimited Dark Trading on Lost EU Stocks

  • Brexit Allows UK to Reform MiFID to Boost Advice Sector

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  • EU to Drill Into “Dog’s Dinner” of Share Trading Data

  • Trading Heads Call for Reform of Double Volume Caps

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  • UK Offers Unlimited Dark Trading on Lost EU Stocks

  • Brexit Allows UK to Reform MiFID to Boost Advice Sector

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