• wblogo
  • wblogo
  • wblogo

Comment and Analysis

articleimage

Regulation of Products

The twelve days of compliance

On the first day of Christmas, the industry gave to me...twelve recurring compliance problems. Unfortunately, when it comes to compliance this yuletide, British financial service firms are still committing the s...

articleimage

Fines and Punishment

Why the FCA is still not enforcing MiFID II

So far, the United Kingdom's Financial Conduct Authority has not taken any enforcement action against non-observers of the European Union's second Markets in Financial Instruments Directive, despite the fact tha...

articleimage

Regulation of Products

What should go into a CCO's annual report to the CFTC?

The US Commodity Futures Trading Commission has published more opinions about certain requirements applicable to swap dealers, futures commission merchants and major swap participants, many of whom work for priv...

articleimage

Regulation of Products

Regulatory prospects for asset managers in 2020

Moody's, the US credit-rating agency, has compiled a report that offers some tentative predictions for the world's asset management industry in the coming year. Regulatory considerations loom large....

articleimage

Client Data

California's GDPR to come into force next month

The California Consumer Privacy Act 2018, the US answer to the Europea Union's General Data Protection Regulation, is to come into force on 1 January. Several exemptions have been enacted in the past few months....

Latest News

articleimage

Regulation of Products

NYDFS to tweak Bitlicence

Linda Lacewell, New York's Superintendent of Financial Services, is proposing to update the regime under which licensed virtual currency firms are allowed to place new virtual currencies on her regulatory list. ...

articleimage

Fines and Punishment

SEC fines another broker-dealer for mishandling ADRs

The US Securities and Exchange Commission has induced Jefferies, the broker-dealership, to pay nearly $4 million to settle charges that it handled 'pre-released' American Depositary Receipts improperly. ...

articleimage

People Moves

LGIM appoints Camille Blackburn as CCO

Legal & General Investment Management has announced the appointment of Camille Blackburn as chief compliance officer, subject to regulatory approval. ...