FCA
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Not on the List: MiFID’s Systematic Internalizer Mystery
By Samuel Wilkes
September 19, 2017, Risk
With less than four months to go until the start of Europe’s key reform of market structure, the industry must still confront some …
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Firms Must Hurry to Seek MiFID II Authorization, FCA Warns
By Paige Long
September 18, 2017, Law360
Britain’s finance watchdog on Monday warned firms hit by wide-ranging E.U. market reforms due to enter into force in less than four months …
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Stepping out of the Shadows
By Hayley McDowell
September 15, 2017, The Trade
You would think a regulation tackling the headline-grabbing illicit trading activities of spoofing and market manipulation would grab the full attention of …
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Brokers, Proprietary Traders Facing New Regulatory Obligations Under MiFID II
By Jeff Patterson
September 18, 2017, Finance Magnates
The long-awaited MiFID II implementation deadline is steadily approaching. Ahead of January 3, 2018, the U.K.’s Financial Conduct Authority (FCA) has issued …
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Inducement Report Sounds Warning for Advisers
By Tom Ellis
September 15, 2017, Professional Adviser
Financial advisers have been warned about the level of corporate hospitality they accept ahead of incoming stricter inducement rules under the European …
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In the Balance: Global Regulation Walks a Tightrope
By Philip Alexander
September 12, 2017, Risk
Frustrated by years of internal party disputes over membership of the European Union, former British prime minister David Cameron decided to settle the …
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Libor’s Sunset Sees U.S. Repo Market Cast a Longer Shadow
By Robert Mackenzie Smith
September 11, 2017, Risk
Like an occasionally off-key understudy for a big Broadway show, the U.S. repo market is set to take Libor’s starring role in …
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Firms Get U.K. Update on MiFID II Trading Notification Rules
By Paige Long
September 11, 2017, Law360
The U.K. Financial Conduct Authority updated guidance on Monday for investment firms that will need to notify the agency when their trading activities …
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What’s a Bank Research Report Worth? $50,000 or $50?
By Max Colchester and Christopher Whittall
September 9, 2017, The Wall Street Journal
How much are investment research reports actually worth?
The answer: less than the banks that produce them …
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The Volcker Rule: Proposed vs. Revised – 5 Predictions for the Watered-Down Regulation
By Kelvin To, Data Boiler Technologies, LLC
Originally published on the TabbFORUM
With all of the likely revisions, the Volcker Rule has ceased to exist except in name. Here are …
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