Regulation & Compliance

Compliance Countdown: 100 Days to MiFID II

Sept. 25 marks exactly 100 days until Europe’s new financial regulatory framework, MiFID II, becomes law. Jamie Hyman gets the lowdown from industry experts on whether the industry is ready, what the next 100 days will look like, which strategies firms…

Firms Eye Machine Learning for Liquidity Risk Models

Many US mutual funds are expected to rely on vendor tools to comply with the SEC’s rule that they establish a formal liquidity risk management program that includes classifying the liquidity of their investments. These tools have the potential to improve…

Beware the Commodity Swap Data Swamp

Data quality for over-the-counter commodity swaps reported to swap data repositories, as mandated by the Dodd–Frank Act, has worsened since reporting began more than four years ago, with some blaming the CFTC, while others blame resistance by the SDRs to…

Whisper It Quietly, but Regulation May Have Benefits

"There is also a general feeling among the people I spoke to that the successful firms will be the ones that grasp this opportunity with both hands, rather than sitting back and waiting for it to happen to them."

The (Mifid) Game is Afoot

Buy-side firms in the US should begin preparations for European regulation as a matter of urgency.