Tag: compliance & legal

HomeTagsCompliance & legal

Become a member

Get the best offers and updates relating to Liberty Case News.

Esma initiates action to assess algorithmic trading controls in the EU

The European Securities and Markets Authority (Esma), in conjunction with National Competent Authorities (NCAs), has launched a Common Supervisory Action (CSA) to evaluate the...

Poland’s IZFiA Joins Efama

The European Fund and Asset Management Association (Efama) has welcomed the Polish Chamber of Fund and Asset Managers, IZFiA, as its newest member. This addition...

ESAs consult on standards for European financial access point

The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) have opened a consultation on the draft implementing technical standards (ITSs) regarding the...

Exploring global finance’s liquidity management future

Piyasi Mitra examines how industry experts interpret IOSCO and FSB's regulatory strategies for managing market fluctuations and liquidity mismatches. In July 2023, global regulatory bodies...

UK consumers “regret” not taking financial advice in the last five years

Research found that 75% of people across the UK have not taken financial advice in the last five years despite inflationary pressure. 2000 UK consumers...

Pimco “breaks down” front-to-back office inefficiencies with fintech backing

Dirk Manelski, chief technology officer of asset manager Pimco, said the firm is building its “future middle and back-office systems” after adopting the trade lifecycle...

Efama criticises “complicated” fund liquidity rules

The European Fund and Asset Management Association (Efama) has criticised the FSB and IOSCO's proposals for "unnecessarily complicating" liquidity risk management, potentially raising costs...

Broker-dealers in the modern post-trade financial landscape

Alessandro Cavallari and Steve Gutowski of Societe Generale Securities Services discuss the evolving post-trade landscape, emphasising brokers' need for technological adaptability and strategic partnerships...

Esma highlights shortcomings in MiFID II cost disclosure

The European Securities and Markets Authority (Esma) has released a statement on its 2022 Common Supervisory Action (CSA) and a mystery shopping exercise investigating...

Regulators urge redemption fees for open-ended fund managers

The Financial Stability Board (FSB) and the International Organisation of Securities Commissions (IOSCO) have jointly proposed that open-ended fund managers implement redemption fees for...

FCA’s proposed consolidated tape gains support for transparency

The Financial Conduct Authority (FCA) has unveiled measures to reinforce the UK's position as a global financial centre and enhance market transparency. The FCA plans...

SFDR Article 8 funds surge to €6.4 trillion

A new report by the European Fund and Asset Management Association (Efama) reveals significant growth of SFDR Article 8 funds, accounting for 45% of the...

Categories

spot_img