SEC enacts security-based swap execution facilities registration rule
The US Securities and Exchange Commission (SEC) has created a regime for the registration and regulation of security-based swap execution facilities (SBSEFs).
The new regulatory...
Bloomberg: Banks face FRTB data and modelling hurdles
Banks facing challenges in their implementation of the Fundamental Review of the Trading Book (FRTB), the rules issued by the Basel Committee for Banking...
Declaration of dependence
US president to oversee financial institution regulation amid deregulation drive.
Executive orders signed by US president, Donald Trump, have given him oversight of all US...
US president to oversee financial institution regulation amid deregulation drive
New executive orders signed by US president, Donald Trump, have given him oversight of all US financial regulation, outside of monetary policy, while also...
Bond-trading broker-dealer charged for allegedly bankrupting firm
The Securities and Exchange Commission (SEC) has charged Keith Wakefield, a former managing director and head of fixed income trading at IFS Securities, an...
Just 23% of buy-side firms confident in preparedness for MiFID II
By Flora McFarlane.
A new report by block-trading specialist Liquidnet says that MiFID II will drive automation in trading, but firms face many complexities and...
Are European exchanges allowed to rival size of US markets?
The European Commission (EC) has opened an in-depth investigation into the proposed acquisition of Refinitiv by the London Stock Exchange Group (LSEG) under the...
SEC finds market liquidity minimally impacted by regulatory reforms
By Flora McFarlane.
A paper by the Division of Economic and Risk Analysis (DERA) of the US Securities and Exchange Commission (SEC) has found that...
Ancoa post-mortem: Spend was over four times greater than revenue
Ancoa, the troubled market surveillance firm that went into administration on 5 May 2017, had an average monthly spend of £450,000 in 2017, or...
The breakdown: How asset managers are tackling fixed income unbundling
By Flora McFarlane & Dan Barnes.
With the revised Markets in Financial Instruments Directive (MiFID II) set to arrive in just under five months, buy-side...
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