Regulation Archive

A pre-summer start to trialogues will result in a completed MiFID II text by year's end, but buy-side concerns about dark pools remain. read more>

Banks' proprietary trading desks are facing tough recommendations to change their culture and could become part of the approved persons regime, according to the Banking Commission's latest report. read more>

As European Union members consider implementing a financial transaction tax, the effect it could have on the repo market is seen by some to be a serious threat to market liquidity. read more>

Almost a month after the Commodity Future Trading Commission's (CFTC) publication of its rules for swap execution facilities (SEF), the only applicant is the regime's leading detractor. read more>

Pan-European regulatory regime MiFID II was yesterday jolted forward as the Council of the European Union's final position emerged, although dark pool use for the buy-side will be significantly reduced. read more>

The US House of Representatives has approved legislation that would exempt foreign derivatives trading by US firms from federal oversight, raising hopes that US regulators will relax their proposals. read more>

Technology specialist Nice Systems has launched an automated communications surveillance system for trading floors. read more>

With the latest OTC derivatives clearing deadline due on Monday in the US, concerns remain that buy-side firms and third-party technology providers are not ready for the increased regulatory burden. read more>

Greg Medcraft, the chairman of the Australian Securities and Investments Commission, (ASIC), has announced that Australian's regulatory body will not be proceeding for the time being with implementing a trigger for a minimum size threshold for dark trading. read more>

The reported row back of a proposed European financial transaction tax under development by 11 EU member states may be just the start of its overhaul, a tax expert at buy-side trade body the Investment Management Association has said. read more>