ASIC is looking to launch a regulatory sandbox for FinTech start-ups, following in the footsteps of the UK’s FCA.
Rules on transparency for non-equities should be “phased-in” to reduce risks to liquidity, ESMA said.
New benchmarking rule set to see further governance and transparency on administration of benchmarks.
Report cards are preventative measure to help firms spot “potential problems that need to be reviewed", FINRA said.
Following an investigation into information leaking, Credit Suisse’s Japanese business must “develop preventative measures”, says FSA.
As the saga that is Mifid II rumbles on, Hayley McDowell asks have regulators lost sight of the end goal – to protect investors?
Andrew Glessing has been appointed as director and head of compliance practice at consultancy firm, Alpha FMC.
MiFID II is set to be a game-changer for ETFs, and will see them used in a wide variety of ways from securities lending to collateral.