Compliance
Facing down complexity – Creating a global framework for compliance
TMF Group discusses how in‑house general counsels can help Asia-Pacific‑based organisations navigate an increasingly complex regulatory landscape by creating a global subsidiary compliance strategy that also addresses regional needs
The rapid evolution of compression: Keeping pace with optimisation activity
Sponsored forum: Capitalab
Regtech – Enabler of the shift from compliance to performance
Survey report & white paper | Moody's Analytics
Regulator prepares crackdown on inaccessible Mifid data
UK regulator says approved publication arrangements not observing spirit of the rules
SEC liquidity rule delay a double-edged sword for asset managers
Some mutual funds say a staggered approach to implementation will add to their workload
Esma investigating Mifid trade data publishers
European regulator warns approved publication arrangements could be breaking the rules
Next-generation GRC
Webinar: Nasdaq BWise
Top 10 op risks 2018: IT disruption
Fear of disabling cyber attack trumps risk of data theft
Isin service increases annual fees by 73%
Anna DSB warns venues against gaming the fee model
1MDB looms large in Asian banks’ war on money laundering
Banks in Asia-Pacific spurred by tougher enforcement and stricter AML rules
Flexibility and a pragmatic approach puts Kairos Investment Management in a strong position for the future
After suffering a loss of more than 40% of assets under management during the financial crisis, Kairos Investment Management has recovered and – employing a virtually unchanged team – is building on the foundations previously put in place by taking a…
Monitoring regulatory changes to stay one step ahead
Winners' Circle Q&A | Droit Financial Technologies
Global harmony – Educating firms on the new Common Reporting Standard
TMF Group explores how educating organisations on the approaching Common Reporting Standard can fix problems presented by discrepancies in the standard’s interpretation across different jurisdictions
Esma guidance on swaps transparency still leaves questions
Volatile instrument attributes removed from transparency determination, but further issues remain
Front-office backlash: the EU gets tough on research unbundling
Three EU watchdogs – including CNMV and AFM – say front-office content can still be Mifid II research
The three lines of defence: a Sisyphean labour?
Banks have revised Basel’s model to suit their risk profile, but some remain sceptical of its impact on risk culture
Citi overhauls bonus system to strengthen conduct culture
Poor conduct score can eliminate bonus regardless of profit contribution
Mifid’s great race to the bottom
If rules are unclear, regulators cannot prevent banks adopting the softest interpretations
Banks claim front-office content is safe from Mifid II
Work of ‘desk analysts’ is not research, banks argue; lawyers are not so sure
MTF bilateral trading protocol offers Mifid arbitrage
Nordic banks to use protocol to benefit from longer deferral period
Brokers brace for Mifid II squeeze
Further consolidation is forecast for the interdealer broker industry as Mifid II looms
Day of the Mifids: what happens on January 3?
Continued ambiguities in the rules could hit European market liquidity at the start of 2018
Heads in the cloud: banks inch closer to cloud take-up
Regulatory guidance helps clear the way for greater adoption of cloud computing
Covered funds seen as starting point for Volcker rule reform
Inter-agency consensus may prove more elusive on altering prop-trading definitions