FCA
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UK’s financial watchdog announces rethink on ‘future of regulation’
By Cat Rutter Pooley and Philip Georgiadis
April 17, 2019, Financial Times
The UK’s financial services watchdog is embarking on a wide-ranging examination of the future of regulation as the …
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FCA to assess risks relating to expensive data
By Louisa Chender
April 17, 2019, Global Investor Group
The Financial Conduct Authority (FCA) will look at risks relating to access and use of data as one of the key …
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Unpicking the research unbundling conundrum
By Hayley McDowell
April 15, 2019, The Trade
The endeavors of European regulators to introduce greater transparency of costs and charges – to the ultimate benefit of end investors – …
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U.S. Treasury Won’t Issue SOFR Notes Until at Least 2020
By Robert Mackenzie Smith
April 10, 2019, Risk
The U.S. Treasury department will not begin issuing floating rate notes (FRNs) linked to the secured overnight financing rate, or SOFR, until …
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Fed Urges U.S. Financial Industry to Accelerate Libor Transition
By Michelle Price and David Milliken
April 10, 2019, Reuters
The U.S. financial industry must accelerate efforts to move away from the scandal-plagued Libor reference interest rate, Federal Reserve Governor …
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Banks Deliver Brexit Employment Contracts
By Sharon Kimathi
April 10, 2019, Practice Insight from IFLR
A managing director at a major U.S. bank has told Practice Insight that his team and others have already received …
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More Than 1,000 Investment Firms Fail MiFID II Transaction Reporting Requirements
By Mike Sheen
April 9, 2019, InvestmentWeek
More than 1,000 investment firms were found to have fallen short of transaction reporting requirements under MiFID II in 2018, while experts warn …
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Brokers ‘Clinging On’ Amid Weak Research Spending
By David Ricketts
April 9, 2019, Financial News
It is more than a year since sweeping changes were waved in under Europe’s landmark Markets in Financial Instruments Directive II, and …
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Clash on Brexit Share Trading Rules Could See Further U.K.-E.U. Regulatory Divergence
By Charles Gubert
April 1, 2019, The Trade
Up until about a week ago, most financial institutions felt UK and EU regulators had done an impeccable job minimizing the risks …
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Update: FCA Confirms Retail Ban on ‘Gambling Product’ Binary Options
By Mike Sheen
March 29, 2019, InvestmentWeek
The Financial Conduct Authority (FCA) has confirmed the total ban of the sale, marketing and distribution of binary options to retail investors, following …
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