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ESMA Proposes to Further Postpone CSDR Settlement Discipline

Scott Porter -
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today published a final report on draft regulatory technical standards (RTS) definitively postponing...
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Analysis

CFTC Finalizes Cross-Border Swaps Rule

Guest Post -
by Joseph Vebman, Mark D. Young, Jonathan Marcus, Daniel B. O'Connell, Skadden, Arps, Slate, Meagher & Flom LLP On July 23, 2020, the Commodity Futures Trading Commission (CFTC...
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Compliance

SEC, FINRA Provide Guidance Regarding Cybersecurity, AI and Digital Assets

Guest Post -
by Valerie Dahiya and Thomas Ahmadifar, Perkins Coie LLP The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) made several...
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Compliance

AML, KYC and Sanctions Fines for Global Financial Institutions Reach $5.6 Billion Mid-Year

Scott Porter -
Repercussions from high profile scandals and compliance failings hit US, Israeli, Nordic and German banks hardest Digital transformation specialist Fenergo has released its mid-year findings...
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Compliance

ISS Introduces Compliance Solution for Custodians Ahead of SRD II Deadline

Scott Porter -
Governance specialist Institutional Shareholder Services Inc. (ISS), confirmed that it has launched a Global Proxy Distribution (GPD) Shareholder Identification Service, which it says is...
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Compliance

ICI: SEC’s Fair Value Proposal Modernizes Current Regulatory Framework

Scott Porter -
Modifications Needed to Reflect Funds’ Practices The proposed fair value rule from the Securities and Exchange Commission (SEC) replaces a patchwork of guidance and appropriately...
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Compliance

Industry Paper Tackles Regulatory-Driven Market Fragmentation in Asia

Scott Porter -
The report provides recommendations for a more holistic and coordinated approach to policy development and implementation with case studies from the region’s capital markets. ASIFMA,...
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Compliance

ESG in Structured Finance Transactions

Guest Post -
by Martin Sharkey, Partner, Dentons Background A concern for the environment, fair treatment and the rule of law are not new. However, in a post-industrial and...
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Compliance

Initial Margin Guidance for US Swap End Users

Guest Post -
I. Introduction Thanks to recent actions taken by the Commodity Futures Trading Commission (CFTC) and the five US prudential regulators responsible for the uncleared swap...
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Compliance

MiFID II: The Impact So Far

Scott Porter -
It has been over 30 months since the European Union’s Markets in Financial Instruments Directive came into force in January 2018. The vast scope...
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Compliance

CFTC Approves Final Cross-Border Swaps Rule, Exempt SEF Amendment Order

Scott Porter -
The Commodity Futures Trading Commission at its open meeting last week approved a final rule on the cross-border application of certain swap provisions under...
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Compliance

Financial Firms Struggled to Maintain Regulatory Compliance Standards

Scott Porter -
Greenwich Report Analyzes Challenges Facing Market Participants Trying to Maintain Compliance While Trading From Home When COVID-19 shuttered trading floors in March 2020, many buy-side...
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