U.S.
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‘Fiduciary’ Rule Accelerates Account Shift Across Brokerage Industry
By Lisa Beilfuss
July 19, 2017, The Wall Street Journal
A new retirement savings rule that began to take effect last month is already having an impact on the brokerage …
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U.S. Banking Regulator Supports Giving National Licenses to Financial Technology Firms
By Rachel Witkowski
July 19, 2017, The Wall Street Journal
The Trump administration supports giving national banking licenses to firms in the emerging financial-technology industry, acting Comptroller of the Currency …
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House Lawmakers Lining up ‘Buffet’ of Reg Relief Bills
By Ian McKendry
July 17, 2017, American Banker
After passing a comprehensive regulatory relief package last month, House lawmakers are lining up a series of smaller bills in the hopes …
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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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Bipartisan Support Grows for Better Exam Coordination
By Joe Mont
July 18, 2017, Compliance Week
In a letter to Treasury Secretary Steven Mnuchin, Reps. Scott Tipton (R-Colo.) and Kyrsten Sinema (D-Ariz.) have spearheaded a bipartisan effort demanding …
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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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Treasury Reform Plans Positive for U.S. Primes: Expert
By Andrew Neil
July 17, 2017, Global Investor Group
Plans to revisit and potentially roll back parts of Dodd-Frank are a welcome boost for U.S. prime brokers, according to one …
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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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Fears of Price Distortion Raised Over U.S. Treasuries Market
By Attracta Mooney
July 16, 2017, Financial Times
The U.S. Treasuries market is at risk of price distortions that could put investors in bonds and derivatives in danger of big …
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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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