As the regulatory environment gets tougher for UK retail banks, some industry figures warn of an exodus of IFAs from the retail market in order to target high-net-worth investors
Finra has issued a regulatory notice responding to questions about its 2010 suitability rule
The likelihood of Fatca-style legislation from other jurisdictions means banks must be prepared
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CSDs in harmony?
New research finds banks face steep extraterritorial compliance costs
The potential ban on the sale of unregulated collective investment schemes to retail will also reduce the range of investments in the private wealth sector, say industry participants
The Commodity Futures Trading Commission’s proposed rule on the end-user exception to clearing is unworkable for many energy firms that use swaps for hedging say market experts
The US Commodity Futures Trading Commission (CFTC) is very close to finalising its long-awaited definition of a swap, says CFTC general counsel Dan Berkovitz
It’s a commonly voiced concern in the energy trading world that the implementation of the Dodd-Frank Act and other regulation will create unintended consequences. While the long-awaited decision by the...
Volcker rule requirements for chief executive compliance responsibility called into question
The ongoing crisis in Europe is casting doubt over Basel III framework, says a former Basel Committee member
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