FCA
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Uncertainty Over Third Party Verifier Role Concerns Securitization Market
By Olly Jackson
August 17, 2018, International Financial Law Review
The securitization market is set for a shakeup next year with much of the new Securitisation Regulation set to come …
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Benchmarks Regulation: Administrators Don’t Know They’re Caught
By Lizzie Meager
August 16, 2018, Practice Insight from IFLR
Benchmark administrators across Europe are seemingly unaware that they are benchmark administrators so do not know they will soon be …
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MiFID II: Market Explores Process Trade Options
By Lizzie Meager
August 15, 2018, Practice Insight from IFLR
The range of options provided by trading venues is easing market participants’ compliance with MiFID II and making the venue …
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U.K. Financial Watchdog Opens Record Number of Cases
By Caroline Binham
August 12, 2018, Financial Times
The U.K.’s financial watchdog is opening more cases than ever before, with a particular focus on financial crime.
According to the Financial …
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MiFID II DEA Rules “Suitably Clear” – Legal Expert
By Louisa Chender
August 13, 2018, Global Investor Group
The rules on direct electronic access (DEA) under MiFID II are “suitably clear” and the industry should not need further clarification, …
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Boutique Researchers Hit by E.U. Markets Rules
By Hannah Murphy
August 12, 2018, Financial Times
“Aggressive lowball pricing” from investment banks is beginning to squeeze boutique research providers’ business models following the introduction of new E.U. markets …
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U.K. to Keep E.U. Short-Selling Rules Largely Intact
By Pablo Mayo Cerqueiro
August 10, 2018, Global Investor Group
The British government intends to retain the European Union’s framework for short selling with limited tweaks after it leaves the …
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Margin ‘Big Bang’ to Catch Tenfold More U.K. Firms, FCA Estimates
By Louie Woodall
August 9, 2018, Risk Quantum
The final phase of the initial margin requirements for non-cleared trades in 2020 will capture 5.9% of U.K. financial firms – an …
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Finance Watchdog Relaxed About Bank Models After Brexit
By Caroline Binham
August 9, 2018, Financial Times
The U.K.’s financial watchdog has told banks it is sanguine about what model they use as they move business to the E.U. …
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New Prudential Regime for Investment Firms – How Are MiFID Managers Impacted?
By Michael Chambers, Cordium
Originally published on the TabbFORUM and on the Cordium ‘GRC Insights’ blog
Designed to be simpler and more proportionate to a firm’s operations, the EC’s new …
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