Compliance

The continued struggle with anti-money-laundering compliance: Ongoing challenges and opportunities for financial institutions

The uptick in money-laundering scandals continued in 2019, and as has been the case during the past two decades, financial institutions continue to struggle...

ECSDA approves inclusion of digital assets to existing regulatory frameworks

An organisation representing the likes of Clearstream, Euroclear and SIX, has said it is in favour of incorporating digital assets into current regulatory frameworks...

Joint Market Trade Associations Statement on Keeping Financial Markets Open Amid Coronavirus

SIFMA joined the Managed Funds Association, U.S. Chamber of Commerce, American Cotton Shippers Association, International Swaps and Derivatives Association and Investment Company Institute today...

New Trade Execution Transparency Tests Data Exchange

Complying with a new US regulatory requirement for brokers to give investors more information on trade routing decisions under the amended Rule 606 could...

Covid-19: MiFID II call recording rules relaxed

With Covid-19 forcing huge numbers of people to work from home, European authorities are relaxing MiFID II rules on the recording of telephone conversations....

What You Need to Know About ESMA’s SFTR Phase 1 Delay

In response to the COVID-19 pandemic, the European Securities and Markets Authority (ESMA) has issued a public statement announcing the delay of phase 1...

CFTC extends UMR relief to ease pandemic disruption

The US Commodity Futures Trading Commission (CFTC) has voted unanimously to finalise a one-year extension of the initial margin compliance deadline for market participants...

SEC Files No-Action Letter on Consolidated Audit Trail

The consolidated audit trail (“CAT”) is intended to enhance regulatory oversight of our securities markets.  Our equities and options markets operate through multiple exchanges...

Basel Committee Assesses Members’ Implementation of the Net Stable Funding Ratio and Large Exposures...

The Basel Committee on Banking Supervision has today published assessment reports on the implementation of the Net Stable Funding Ratio (NSFR) and the large exposures framework (LEX) in Hong Kong...

Pandemic Planning: Joint Questions and Answers Regarding Statement About the Use of Capital and...

The Office of the Comptroller of the Currency (OCC), along with the Board of Governors of the Federal Reserve System (Federal Reserve) and the...
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