Regulation & Compliance

AIC’s Sayers on the Trouble with KIDs Today

From misleading risk indicators to unfair, unbalanced requirements, the head of the Association of Investment Companies talks to Jamie Hyman about the problems with rules around Key Information Documents, and why they are nearly impossible to solve.

Esma’s LEI Xmas Extension: Last-Minute Gift or Lump of Coal?

On December 20, Europe’s financial regulator announced a six-month grace period for full LEI implementation, a last-minute about-face that is either a welcome reprieve or an added burden, depending on how prepared market participants were for Mifid II’s …

Data Fee Complainants Buoyed by SEC Appointee

Recent appointments at the US Securities and Exchange Commission have led some firms to believe regulators and policymakers will finally start to address what they believe to be opaque pricing structures for market data at exchanges. Joanne Faulkner…

So This Is Mifid (II), and What Have You Done?

John reflects on how Mifid II has dominated the news in recent months and asks if the industry is really ready for such a sea change at a time when new regulation is now just part of doing business.

UPDATE: Markets, Regulators Not Yet United on Mifid II

Just over a week into Europe’s new financial regulatory regime, Joanne Faulkner assess the key challenges that still lie ahead as market participants and regulators alike grapple with the data and reporting requirements of Mifid II.

What to Do About Mifid II

Europe’s regulatory big bang arrives today as an evolving set of rules rather than a finished product.

Law & Disorder: US Preps Defense Against Mifid II

As Mifid II's deadline approaches, US firms affected by the rules are still waiting for regulators to resolve crucial conflicts between European and American laws, and are likely to be making adjustments well after the deadline has passed, reports…

December 2017: Mifid II: The Gift that Keeps on Giving

If you’ve left your Christmas shopping until the last minute, you’re not alone: Many financial market participants have also fallen behind with their plans for the holidays—and specifically for New Year, after which the second iteration of Europe’s…

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