Regulation

Regulation & compliance: Parting of the ways

The UK is carving out its own path in financial services. Gill Wadsworth assesses the divergent gameplan the government is developing. In May 2022, the...

Regulation & compliance: The slow road to the CSDR 

Gill Wadsworth explains why the regulation is still a work in progress after all these years. The path of European regulation never runs smooth nor...

Regulation & compliance: Action not words

D&I has become increasingly important but financial service firms need to stop talking and be more proactive. Lynn Strongin Dodds. Although diversity and inclusion are...

Data: A blank tape

Europe’s consolidated tape proposal is a start, but many details still need to be filled in for its value to be assessed. Lynn Strongin...

Regulation & compliance: Counting down

The 31 December 2021 deadline for the Libor transition is near but there are still many moving parts to consider. Lynn Strongin Dodds reports. The...

UK government considers regulating ESG data providers

The UK government is considering bringing environmental, social and governance (ESG) data providers under the Financial Conduct Authority’s remit to help improve transparency and...

Regulation & compliance: Divergence in a post Brexit world by Louise Rowland

Doing our own thing  Louise Rowland looks at regulatory divergence in a post-Brexit world. It was the longest – at times, most acrimonious – divorce in history. Five months...

ESMA warns on SPACs and payment for order flow

The European Securities and Markets Authority has warned about the prospectus disclosure and investor protection issues raised by special purpose acquisition companies and about...

Regulation: The slow burn of the SFTR

Gill Wadsworth explores the different machinations of adopting the securities financing transactions regulation. In the alphabet soup of European financial regulations which is already overflowing...

Viewpoint: The impact of regulation: Tim Keady

Rearchitecting your compliance framework. Tim Keady, Managing Director, Head of DTCC Solutions and Chief Client Officer at DTCC. Since the 2008 financial crisis the industry has confronted numerous waves...

UK to review bank rules on proprietary trading and ring fencing

An independent review has been launched into capital and proprietary trading rules that were introduced following the global financial crisis as the UK government...

Regulation & compliance : Libor transition : Lynn Strongin Dodds

THE END IS NIGH. Lynn Strongin Dodds looks at the challenges in reaching the Libor end goal. Fifteen months may seem like a long time to...

French and Dutch regulators call for robust European framework for ESG data and ratings

The Autorité des marchés financiers (AMF) and its Dutch counterpart, the Autoriteit Financiële Markten (AFM), have joined forces to issue a joint position paper...

European Women in Finance : Michelle Rodrigues : Keeping ahead of the curve

Lynn Strongin Dodds talks to Michelle Rodrigues, General Counsel, Instinet Europe about MiFID, Covid-19, Brexit and keeping ahead of the regulatory curve. Michelle Rodrigues had...

EU extends short selling reporting rules until end of the year

The European Securities and Market Authority (Esma) has extended its stricter short selling reporting rules for another three months due to the prolonged uncertainty...