Are European exchanges allowed to rival size of US markets?

Are European exchanges allowed to rival size of US markets?

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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...
Hermes Investment Management chooses IHS Markit for TCA

Hermes Investment Management chooses IHS Markit for TCA

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By Flora McFarlane. Hermes Investment Management has chosen IHS Markit’s TCA platform ahead of incoming best execution obligations under MiFID II. The technology provider’s TCA platform...
SEC fines ten broker-dealers US$289m for recordkeeping violations

SEC fines ten broker-dealers US$289m for recordkeeping violations

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Ten sell-side firms have been fined a combined US$289 million by the US Securities and Exchange Commission (SEC) for violating recordkeeping provisions. The...
Federal Reserve group issues credit risk warning over US Treasuries trading

Federal Reserve group issues credit risk warning over US Treasuries trading

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By Pia Hecher. The Federal Reserve’s Treasury Market Practices Group (TMPG), which discusses issues in the US government bond market, has said that firms are...
Bloomberg: Banks face FRTB data and modelling hurdles

Bloomberg: Banks face FRTB data and modelling hurdles

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Banks facing challenges in their implementation of the Fundamental Review of the Trading Book (FRTB), the rules issued by the Basel Committee for Banking...
US unbundling does not impose fiduciary execution rules on dealers

US unbundling does not impose fiduciary execution rules on dealers

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By Flora McFarlane. US banks are able to unbundle trade execution and research payments without incurring fiduciary responsibility for trade execution. Following a lengthy process...
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The breakdown: How asset managers are tackling fixed income unbundling

The breakdown: How asset managers are tackling fixed income unbundling

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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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US president to oversee financial institution regulation amid deregulation drive

US president to oversee financial institution regulation amid deregulation drive

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New executive orders signed by US president, Donald Trump, have given him oversight of all US financial regulation, outside of monetary policy, while also...
Reviews of MiFID II transparency raise concerns

Reviews of MiFID II transparency raise concerns

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The European Securities and Markets Authority (ESMA) launched consultations on 3 February 2020 for the regime for non-equity instrument systematic internalisers (SIs), venues that...
PLSA: Absorbed research costs must not impede transparency for investors

PLSA: Absorbed research costs must not impede transparency for investors

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By Flora McFarlane. The majority of large asset managers are opting to absorb research costs rather than pass them onto clients, but investors must investigate...
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