FCA slams unbundling failures at buy-side firms
Regulator visited investment firms and found majority are failing to meet unbundling and dealing commission requirements.
Regulator visited investment firms and found majority are failing to meet unbundling and dealing commission requirements.
FCA urges buy-side firms to implement strategies to ensure best execution is monitored efficiently.
Regulators are set to shift focus from large banks to asset managers, according to a recent report.
NEX Reg will focus on regulatory and market structure issues.
The MiFID II pop-up event will be held in New York on 28 March and readers can register now for free.
Fixed income participants are still unaware of how SIs will affect their trading, according to panellists at The TRADE’s MiFID II pop-up event.
Kay Swinburne MEP told delegates at The TRADE’s MiFID II pop-up event she is aware of plans to use SI networking as a loophole to get around rules on equities trading.
FIX Protocol now includes data and documents on MiFID II reporting, clock synchronisation and transparency requirements.
EU regulator confirms the 1 March deadline for variation margin rule is still in place, despite the US being given a six-month relief period.
European Commission will respond to bond market expert group’s study on impacts of policy on liquidity.