The FCA is asking banks to pay greater attention to customers struggling with their debt repayments and not to lend more to them. Justin Pugsley reports.
FCA widens interpretation on paying for research
The FCA potentially widens scope as to what can be interpreted as inducements to trade under MiFID II. Justin Pugsley reports.
ESMA issues advice around ICOs
ESMA warns industry and investors over the importance of being compliant with existing regulation when engaging in ICOs. Justin Pugsley reports.
NY Fed chief Dudley warns over Dodd-Frank changes
New York Federal Reserve President to step down early and in a speech warns over going too far in unwinding Dodd-Frank.
SEC enforcement division to prioritise retail investors, fraud and cyber-security
SEC co-director reiterates the commission’s enforcement priorities around retail investors, financial fraud and cybersecurity.
US House requires US regulators to safeguard market data against hackers
The House of Representatives has passed an act requiring the SEC and Finra to put in place tough safeguards to protect market data gathered by the new Consolidated Audit Trail system.
Staff changes at US Fed suggest Dodd-Frank is safe
Recent changes of personnel at the US Federal Reserve reinforce the view that Dodd-Frank is not about to be shredded. Nonetheless, the Fed’s new management has some regulatory priorities to change aspects of the Act, as Justin Pugsley reports.
Concerns grow over transition to new interest rate benchmarks
The regulatory push to shift the financial system into using new interest rate benchmarks is triggering growing concern over how that will impact a raft of legacy products that contain no provisions for a benchmark switch. By Justin Pugsley
Data concerns as industry looks MiFID II-ready
Though financial firms mostly seem to have IT systems and processes in place to comply with MiFID II from January 3 2018, there is some concern over the quality of the data that will get reported. By Justin Pugsley.
CLS aims to enhance currency market infrastructure
Foreign exchange settlements firm CLS Group is launching several products aimed at bringing greater speed, efficiency and clarity to the world’s largest market, which is currently fragmented and opaque. By Justin Pugsley.
Most Viewed
@RiskRegulator
