FCA tells asset managers to focus on liquidity risk after finding some firms lacking
The UK’s Financial Conduct Authority (FCA) has told asset managers to increase their focus on liquidity risk, stating gaps in liquidity management could lead...
Market data costs in spotlight under new FCA review
The UK’s Financial Conduct Authority (FCA) has issued a call for input (CFI) to better understand how data and advanced analytics are being accessed...
FINRA reporting change could support low-touch trading at size
A proposed pilot project for raising the size at which US bond trades must be reported, and delaying reporting for even larger trades, could...
The UK’s PRA cites break from EU in review of capital rules for buy...
The Prudential Regulation Authority (PRA), the UK’s prudential authority for financial services, has begun reform of capital rules for insurers and banks, in its...
Swedish broker shut for pushing risky bonds and illicit issuer payments
Swedish market regulator, Finansinspektionen (FI), has revoked all permits for Nord Fondkommission AB (Nord FK) to continue trading.
Nord FK is a securities firm whose...
Swedish regulator FinansInspektionen flags corporate bond markets for review in 2022
Swedish capital markets regulator, FinansInspektionen (FI), has published its priorities for 2022, including a review on the bond markets and fund holdings of corporate...
SEC requests comment on evolution of buy-side internal crossing rules
The US Securities and Exchange Commission’s Division of Investment Management Staff has published a statement to elicit feedback on ways to enhance its regulatory...
Mystery surrounds APA failure in European bond markets
European bond market participants are keen to know which post-trade data reporter, known as an approved publication arrangement (APA), has ‘data quality issues’ resulting...
FCA to investigate barriers for buy side to access data
The UK’s market regulator, the Financial Conduct Authority (FCA) will launch two market studies and gather further information to investigate access to wholesale data....
