Dealers
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Investment Firms, Dealers Face MiFID II Review
By James Langton
February 1, 2021, Investment Executive
European securities regulators are launching a review of the investment industry’s compliance with new governance rules for financial products.
The European Securities …
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Fronting the Dealing Evolution
By Hayley McDowell
February 1, 2021, The Trade
While juggling a multi-asset dealing desk in dramatic market conditions from her home office in rural South Lanarkshire, Kirstie MacGillivray explains that …

Blast from the Past: Trading venues decry disruptors as MTF battle heats up
By Ben St. Clair
January 14, 2020, Risk
Imagine, for a moment, a trading tool that allows buy-side users to send quote requests to multiple dealers in one click. The …
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Mifid transparency battle pits dealers against non-banks
By Philip Alexander
December 17, 2020, Risk
Swap dealers and non-bank market-makers are lining up on opposite sides of what is shaping up to be a contentious debate over reforming …

SEC eases path to swap dealer registration
By Wendy Lisney
December 17, 2020, Global Investor Group
A new US rule on security-based swaps will reduce the exposure of certain facilities and dealers to overlapping regulations, helping to …
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Analysis: After COVID shock, U.S. Treasury market set for new scrutiny – sources
By Matt Scuffham
December 16, 2020, Reuters
The $20 trillion U.S. Treasury market is set to come under intense scrutiny by President-elect Joe Biden’s regulators, after seizing-up amid rising pandemic …

CFTC Adopts Rule Changes to Facilitate Foreign Swaps Clearing
November 29, 2020, Regulation Asia
The CFTC has extended no-action relief for non-US swap dealers from reporting requirements, and finalised rules for exempting non-US clearinghouses from registration requirements.
The CFTC …
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Funding pain prompts calls to rehome FVA
By Natasha Rega-Jones
November 5, 2020, Risk
An arcane corner of the derivatives market has moved centre stage after huge swings in funding costs earlier this year forced banks to …