Contributor: Magnus Almqvist
With the London Olympics in full swing, one can’t help but think of the state of our industry and the challenges ahead. When it comes to regulation and compliance for the capital markets, we certainly face an Olympian task...... read more
Contributor: Magnus Almqvist
The passage of the Dodd Frank Act, the Market Abuse Directive (MAD) and MiFID, as well as the newly issued Guideline 2012/122 from the European Securities and Markets Authority (ESMA), which covers algorithmic and direct market access (DMA) electronic trading, is clear evidence that the regulation of financial markets continues to go through unprecedented rate of change.... read more
Contributor: Steve Sabin
Compliance is complex and expensive—but not as expensive as non-compliance. Fragmentation, continued regulatory changes, and globalization of regulation are among the top concerns for most securities firms today.... read more
Contributor: David Morgan
Interested parties have now had time to digest the European Commission’s October MiFID 2/MiFIR proposals, and major questions have been raised by a wide range of people. Looking briefly at the main areas of debate: Transparency is clearly the Commission’s central watchword in seeking to protect the interests of retail investors, but the big question is whether overly prescriptive regulation of dark pools may damage the ability of asset management firms to trade optimally on behalf of their (ultimately retail) clients.... read more
Contributor: Peter Banham
It is clear that regulatory changes are transforming the OTC derivatives space, from execution to settlement. There are many challenges at play here. As we head into 2012, market participants will need to manage large volumes of data in order to clear and process trades, and we will see new pressures on the cost and the more effective use of capital. In response to this industry transformation, my team and I have identified 10 key trends shaping OTC derivatives today.... read more
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