SEC
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FCA Chief Rules out Action on Exchange Traded Funds
By David Ricketts
July 19, 2017, Financial News
The chief executive of the U.K. financial regulator is keeping a “very close watch” on the booming exchange traded fund market but …
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White House to Nominate Hester Peirce as Republican SEC Commissioner
By Dave Michaels
July 18, 2017, The Wall Street Journal
The Trump administration plans to nominate Hester Peirce to fill a vacancy as a Republican member of the Securities and …
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MiFID II Research Unbundling to Be Global Norm
By John Crabb
July 14, 2017, International Financial Law Review
With the deadline looming closer, the extraterritorial reach of the Markets in Financial Instruments Directive II (MiFID II) on third …
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U.K.’s FCA Sets Out Final Research Rules: 5 Key Takeaways on Unbundling
By Neil Keane, Fat Tail Consulting
Originally published on the TabbFORUM (and a version on LinkedIn)
The U.K.’s Financial Conduct Authority set out its final rules on MiFID II implementation …
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SEC Eyes Fixed Income Market Structure
By Rob Daly
July 13, 2017, Markets Media
U.S. Securities and Exchange Chairman Jay Clayton is turning his attention towards the fixed income market.
The new chief regulator has instructed …
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On the Regs: Q2 Update
By bbhblogs
Originally published at the On the Regs blog
We recap the regulatory developments in Q2 and highlight what to expect next quarter.
What Happened?
It was a busy …
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Wall Street Wins Round in Fight with Exchanges Over Audit System
By Charlotte Chilton and Benjamin Bain
July 10, 2017, Bloomberg
The long effort to make it easier to catch cheaters and diagnose the causes of mysterious crashes in the U.S. …
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CFTC Compliance Proposal for CCOs Draws Praise, Concerns
By Jack Newsham
July 10, 2017, Law360
Swaps firms regulated by the Commodity Futures Trading Commission broadly approve of changing compliance rules to more closely track those set up by …
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SEC Poised to Turn Cyber Security Focus into Enforcement
By Carmen Germaine
July 7, 2017, Law360
Officials at the U.S. Securities and Exchange Commission have made it crystal clear they’re focused on how American markets and firms are preparing …
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Easing the Rules? What you Need to Know About the Future of EMIR
By Bijal Shah, Brown Brothers Harriman
Originally published at the On the Regs blog
We examine the European Commission’s proposed reforms to EMIR and what asset managers can expect.
Four …
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