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Regulation

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Regulation | 09:50 | 16/01/2017
Priips’ draft RTS

Eleven French financial associations, including the French asset management association AFG, have issued a statement regarding the evolution of Priips’ draft regulatory technical standards (RTS).

Regulation | 12:03 | 12/01/2017
Robert W. Cook

Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs. In this year´s letter, Robert W.

Regulation | 09:25 | 27/12/2016
Investments in China

An agreement between the People’s Bank of China and Ireland means that funds domiciled in the country now can tap into a RMB 50bn (roughly €7bn) quota under the Renminbi Qualified Foreign Institutional Investor regime.

Regulation | 09:38 | 09/12/2016
On liquidity calculations

A political agreement reached on the Money Market Fund Regulation was signed-off by the Council of Ministers on December 7th in a meeting of EU Ambassadors (COREPER) and on December 8th by the European Parliament’s ECON Committee.

Regulation | 17:25 | 21/11/2016
Effective December 5

The Federal Reserve Board on Friday announced it is broadening the scope of post-employment restrictions applicable to Federal Reserve Bank senior examiners and officers.

Regulation | 10:57 | 21/11/2016
For Fixed-Income Securities

The Securities and Exchange Commission has approved FINRA’s proposal requiring its member firms to disclose on retail customer confirmations the “mark-up” or “mark-down” for most transactions in corporate and agency debt securities. The SEC at the same time

Regulation | 09:21 | 15/11/2016
Says Standard Life Investments

Standard Life Investments believes that it is time for a reset of fiscal policy to address both short and long-term challenges in the UK economy. A well-targeted stimulus would help cushion an expected slowdown in growth following the UK’s vote to leave the European Union.

Regulation | 15:50 | 01/11/2016
2.5 Years Later

It´s been two and half years since the Public Investors Arbitration Bar Association (PIABA) reported the “serious deficiencies in the background information provided about financial professionals to investors through FINRA's BrokerCheck website”.

Regulation | 09:24 | 27/10/2016
Credicorp Capital Colombia

Credicorp Capital's, Daniel Valendia, Director of Research and Chief Economist, together with Camilo Andres Durán, Macro and Credit Analyst evaluate the consequences of the eagerly-awaited tax reform in Colombia.   

Regulation | 22:56 | 26/10/2016

Spanish Sicavs are under scrutiny following allegations that wealthy individuals are obtaining tax advantages through this type of investment vehicle.