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Basel III: how some banks will lose out
The recent reform could impact some lenders more than others and have a destabilising effect
January 15, 2018
Priips: investment firms lay off advisors over failures
Almost a year after implementation, sources are still having “shocking” conversations on the regulation, particularly in the US. Many are having to start from scratch after recognising they have not been compliant
January 15, 2018
Rise in SPACs sparks regulation rumours
The cash shell model is increasingly popular in the UK equity market. In-house counsel think this will lead to formal regulation of the structure, particularly surrounding disclosures on target companies
Sharon Kimathi
,
January 14, 2018
Initial margin: custodians, buyside face uphill KYC struggle
There’s still significant lingering legal uncertainty for both asset managers and custodian banks as they face the operational challenge of CSA negotiations and KYC checks, at the risk of a sellside backlog closer to deadline
Sharon Kimathi
,
January 13, 2018
Understanding the standard of care for broker-dealers and the DOL’s fiduciary rule: a MoFo report
This exclusive analysis from Morrison & Foerster looks into the rule's past, why it's been subject to so much debate, and what its future could look like
January 12, 2018
Initial margin: threshold changes raise cost concerns
Phase four and five firms are worried that the costs and efforts preparing for uncleared margin rules will be gone with the wind, especially following the CFTC’s threshold announcement
Sharon Kimathi
,
January 12, 2018
Priips: industry begs Commission to clarify scope
A letter seen by Practice Insight has shown that banks and trade associations are imploring the European Commission to clarify the scope of the new retail investor protection framework. Uncertainty within the Priips regime is pushing issuers to err on the side of caution and designate new deals to professional investors only
January 12, 2018
Firms are struggling to implement SFTR
Securities lending desks and trade repositories feel that the new regulation’s 153 data fields are cumbersome, with significant potential for errors and duplication. The UTI requirement is a particular headache
Sharon Kimathi
,
January 12, 2018
Tech keeps EU data protection rules in check
A need to keep up with technology has increased financial services firms’ costs and created a complex framework to navigate
January 11, 2018
EXCLUSIVE: Commission approving SFTR this week
The EC has confirmed market rumours that it will be approving SFTR’s draft RTS within the week. Many firms will be caught off-guard, leaving some in noncompliance
Sharon Kimathi
,
January 11, 2018
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