Decision could come as early as today; high hopes for credit risk transfer exemption
Also: GE settles after juicing asset manager sale; keeping conflicts of interest quiet. Data by ORX News
Legal victory for the regulator would establish new powers of prohibition, critics claim
Dealers claim it’s a vital tool for managing risk. Clients say it’s open to abuse. How should regulators treat the problem child of financial markets?
Global standard-setter intends to release results of review in third quarter of 2024
ABS participants say breadth of resurrected 2011 proposal creates compliance minefield
For crypto infrastructure rules, regulators need speed before perfection, says former BoE adviser
German and Czech proposals would also put kibosh on commission’s mooted ban on the practice
Lawmakers expected to seek stronger customer protection; industry wants flexibility for DeFi
Clearing members question how CME could be quasi-regulator as well as direct competitor
Using Canadian data for the period 1957–2018, this paper provides evidence in support of portfolio rebalancing by professional portfolio managers.
Possible compromise would be using consolidated tape to benchmark best execution
For a generation of bankers and vendors, client hospitality was part of life. But the party is winding down
Esma proposals spark worries AIFMD review could wreck existing delegation models
Europe regulator warns of conflicts of interest between risk and portfolio managers in AIFMD delegation model
Aggregators are facing resistance from venues and attracting the attention of regulators
As the new compliance schedule for IM requirements on non-cleared derivatives comes into force, IHS Markit’s director, derivatives data and valuation services, Kashyap Sheth outlines what to expect next
As efforts to transition from Libor to risk-free rates ramp up, Maria Blanco and Nassim Daneshzadeh, partners in PwC’s US and UK financial services practices, discuss two critical and interconnected strategies that are front and centre for PwC clients
This paper is a historical case study of the GAS scandal and is the first to analyze it from the perspective of operational risk.
Three EU watchdogs – including CNMV and AFM – say front-office content can still be Mifid II research
Poor conduct score can eliminate bonus regardless of profit contribution
Inadequate conflict resolution led to SEC whistleblower retaliation case
Management of conflicts of interest needs attention, says regulator