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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.
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Energy’s rising importance is matched by regulatory scrutiny
Government concern about the state of the energy markets has led to new rules, and to action by regulators targeted at the energy and commodity sector.
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Majority of firms unprepared for costs and challenges of MiCA
Survey finds only 9% of firms are ready to handle the EU’s Markets in Crypto-Assets Regulation.