Regulation & Compliance

EU Gets Tough on ‘Research’ Unbundling

Mifid II will force sell-side firms to unbundle research fees from dealing commissions they charge to buy-side clients. The banks claim their front-office notes meet the criteria of being a minor non-monetary benefit, but EU watchdogs aren’t convinced,…

Systematic Internalizer Ranks Swell Ahead of Mifid II

While buy- and sell-side firms grapple with the reporting obligations imposed on so-called systematic internalizers under Mifid II, the number of registered SIs continues to grow. Jamie Hyman investigates why more firms are opting in to the designation…

Out with the Old: Australia’s APRA Takes Aim at EFS Data

The Australian Prudential Regulation Authority is overhauling its core regulatory reporting requirements, which includes the modernization of the Economic and Financial Statistics data submissions required from Australian banks and various other…

FCA Likely to Review Consolidated Data in 2018

It is looking increasingly likely that no consolidated tape provider will be authorized by the time Mifid II comes into force Jan. 3; regulators call lack of authorized CTP an “ongoing issue.”

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