The intensification of financial regulation is a fundamental trend transforming the asset management ecosystem. The planned transition to T+1 settlement in 2024 and the forthcoming revision of Mifid ...

The UK’s Financial Conduct Authority (FCA) has unveiled a sweeping set of proposals to overhaul MiFID-era transaction ...

The European Union (Markets in Financial Instruments) Regulations 2017 (S.I. 375/2017) (the “MiFID II Regulations”) were signed into law on 10 August 2017 and are now publicly available. The MiFID ...

The European Commission’s Markets in Financial Instruments Directive is due for final implementation from November. Many participants in the foreign exchange market still seem to be labouring under ...

The Securities and Exchange Commission's guidance allowing U.S. broker-dealers to receive separate payments for research without being subjected to regulation as investment advisers has expired, and ...

The Financial Conduct Authority has published a consultation paper on the Markets in Financial Instruments Directive Organisational Regulation (MiFID Org Reg). The FCA is consulting on proposals to ...

The controversy concerns APAs, which investment firms use to fulfill new pre- and post-trade transparency requirements under Mifid II and its accompanying Mifir regulation, which came into force on ...

The House on Tuesday passed a bill to codify now-expired guidance from the Securities and Exchange Commission allowing U.S. broker-dealers to receive separate payments for research without being ...

Last year, the European Union told investment firms to make sure retail clients were getting the ESG products they actually wanted. Now, the EU’s markets regulator is about to find out whether ...

Time is running out for European financial institutions to establish a framework for complying with European Union MiFID directives by its implementation date of April 2007. DSTi's Ian Hunt looks at ...

From the blog: Most rules handed down from Europe are treated with distrust, and the forthcoming markets in financial instruments directive – or MiFID II – legislation is no exception. Some call it ...