Regulation Archive

Last-minute exemptions and delays for new US swaps trading rules have given large buy-side firms a brief respite on implementation and will help them avoid burdensome compliance issues. read more>

MEPs will vote on the European Parliament’s version of MiFID II on 26 October, with broad support expected on key issues including broker crossing networks and high-frequency trading. read more>

Institutional investment firms are becoming increasingly worried about adapting their businesses to impending regulation, according to new research. read more>

Canadian dark trading rules coming into force on Monday will cause liquidity shift to the US and pose smart order routing challenges for brokers, industry insiders warn. read more>

A European financial transaction tax on bonds, shares and derivatives trading agreed upon by 11 EU countries on Tuesday would hit end investors, not financial institutions, and could easily be sidestepped through trading in alternative instruments. read more>

Many buy-side firms are not actively managing or hedging credit valuation adjustments, according to the latest annual survey by the Professional Risk Managers’ Association. read more>

A report released last week that recommends ring-fencing banks’ deposit taking activities from trading operations, may not go far enough in protecting investors, market participants have suggested. read more>

Goldman Sachs has agreed to pay over US$6 million in settlements to US options venues after its order entry system unfairly prioritised market making activity as customer flow. read more>

US watchdog the Securities and Exchange Commission plans to tap the expertise of a high-frequency trading firm to bolster its understanding of low-latency markets. read more>

Proposed rules to curb high-frequency trading in European regulation will harm market making operations more than predatory price arbitrage strategies, new research has shown. read more>