Provides Date-Based Guidance, Including When No New LIBOR Activity Should Be Conducted The Alternative Reference Rates Committee, a group of private-market participants convened by the...

Compliance

Webinar: Reg BI – How Firms are Managing Ops Changes

Scott Porter - May 21, 2020

The SEC’s Regulation Best Interest (Reg BI) and Form CRS is one of the largest regulatory changes to the retail brokerage industry in decades,...

Compliance

ESG Disclosure and Due Diligence: Through the Lens of Equity Capital Markets

Scott Porter - May 21, 2020

AFME’s first sustainable finance webinar will explore the increasingly important topics of ESG Disclosure and Due Diligence and more specifically, what they mean for...

Compliance

15th Annual European Leveraged Finance Conference

Scott Porter - May 21, 2020

About the conference For 15 years, AFME’s European Leveraged Finance Conference (formerly known as the High Yield Conference) has brought together the leading names in...

Compliance

Investors Look to Apply NLP Technology in Trading, Compliance and Surveillance

Scott Porter - May 21, 2020

Over the past decade, investors have increased their use of natural language processing (NLP) technology to analyze text and other forms of unstructured data...

Compliance

Delta Capita, DTCC Collaborate on SFTR Testing

Scott Porter - May 19, 2020

Tech consultant Delta Capita has announced it is collaborating with The Depository Trust & Clearing Corporation (DTCC), in what it says is a bid...

Compliance

Dividend Arbitrage Trading Review Completed, Regulatory Framework Proposed

Scott Porter - May 13, 2020

The EBA’s inquiry showed that national authorities do not share the same understanding of dividend arbitrage trading schemes, due to differences in Member...

Compliance

An ECB digital currency – a flight of fancy?

Scott Porter - May 11, 2020

Speech by Yves Mersch, Member of the Executive Board of the ECB and Vice-Chair of the Supervisory Board of the ECB, at the Consensus...

Compliance

SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans

Scott Porter - May 8, 2020

The Securities and Exchange Commission has issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to submit...

Compliance

Four Trade Repositories Cleared to Include Securities Financing Transactions Reporting

Scott Porter - May 6, 2020

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has approved the extension of registrations of four trade repositories (TRs) to...

Compliance

The ETF Ecosystem: Building Herd Immunity

Scott Porter - May 5, 2020

According to the latest Aite Group report, regulatory structures and industry infrastructure are maturing and support continued growth for global exchange-traded funds. The global industry...

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Compliance

ACA: 97% of Firms are Reporting Incorrectly Under MiFIR/EMIR

First Ever SEC Registered Digital Token IPO May Bring Clarity to Blockchain Asset Industry

Basel Committee Consults on Prudential Treatment of Crypto Asset Exposures

ISDA Expands Clause Library to Cover Collateral Documentation

Canadian Securities Regulators Outline Framework for Crypto Asset Platforms

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