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Latest News
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AI use widespread in capital markets according to IOSCO report
Internal productivity, AML/CFT and market analysis and trading insights found to be most common use cases.
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IOSCO highlights conflicts of interest as key risk for online brokers
The consultation report also draws attention to increased trading frequency as well as potentially opaque fee structures.
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UK Supreme Court blocks government intervention in motor finance case
The top Court is set to make a decision in the case in April, and its implication could be far-reaching.
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Federal judge strikes down SEC’s dealer rule amendments
The SEC’s broader definition faced backlash soon after it was issued from some industry leaders, lawmakers, and investors, plus SEC Commissioners Hester Peirce and Mark Uyeda.
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OTC Link LLC to pay $1.19m for failing to file suspicious activity reports
Case brought over failure to file any SARs for over three years.
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EU considers T+1 settlement cycle to align with US and other countries
Speech by Verena Ross on the EU transitioning to a faster securities settlement cycle.
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Venue and data completeness in the spotlight at GR Bank and broker roundtable
Also discussed in this informative and collegial session was communication surveillance and the focus of recent supervisory visits.
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European market participants brace for impact of US move to T+1 settlement cycle
The transition to faster securities settlement in the US will have a significant impact on UK and EU firms with holdings in North and Central America.