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Financial regulators discuss challenges at Energy Trading Week Europe
Commodity derivatives were a particular focus in a wide-ranging exchange.
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FCA Market Watch: Remediation, back reporting and breach notifications
FCA highlights issues in MiFID reporting requirements and advises firms to update and improve their processes.
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Cybersecurity, rising costs of professional advice and paring back regulation discussed at roundtable
Compliance professionals wrestled with current challenges at the latest Global Relay Hedge Funds event in London.
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Securities dealers must follow recordkeeping rules says Danish FSA
Thematic review points to persistent recordkeeping issues at firms stemming from inadequate controls and use of error-prone manual systems.
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GRIP Extra: DHS investigates ex-CISA director Krebs, Atkins in as SEC chair
Other news includes a whistleblower testifying that Facebook was working with CCP on censorship, Treasury announcing the rollback of 15 rules and guidance statements, and the publication of several ESMA documents.
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Preparing for the UK’s new commodity derivatives regime
Next steps for firms, including preparing to take advantage of the new exemptions and submitting required applications to relevant trading venues.
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XLOD London 2024: Addressing the proliferation of trade venues
Panelists from Bank of America, NatWest and Natixis discussed the challenges of multiple trade venues.
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What the new payment options for investment research mean
FCA says new rules will make it easier to buy insight and analysis across borders. We spoke to Seung Earm from Ibex Compliance for the industry view.