Securities and Exchange Commission (SEC)
Social distancing: Putting a $ value on the ‘S’ in ESG
The ‘social’ pillar of ESG has been much overlooked and underserved in terms of reporting and accurate and available data. That’s changing.
Institutions see everything to play for in UK’s DLT sandbox
Industry welcomes flexible issuance limits, but rues derivatives’ exclusion as a missed opportunity.
Citi cyber chief says AI providing new weapons in hacking wars
Barron-DiCamillo also urges regulators to work with industry best practice, not against it
Clients versus compliance: banks hung up over WhatsApp fines
Most opt for outright ban, but some seek technological solutions to monitor private messaging.
Waters Wrap: On cybersecurity, regulators and ‘victim blaming’
In the wake of the Ion hack, regulators are pushing for firms to beef up their cyber defenses. Anthony says that they'll need to mind their words and tread carefully, as cloud, machine learning and open source take off.
Waters Wrap: Regtech hype evolves—for better and worse
As fines levied by the FCA and SEC rise, so too has spending on 'regtech.' But Anthony warns that for the regtech space to evolve further in the future, it must first initiate changes to its ecosystem.
Regulation Best Ex: Investors’ ‘new bestie’ or just extra hassle?
The SEC's proposed best execution regulation has ruffled some feathers. With a host of key details still to be resolved, industry experts say the rule in its current form could represent a big change in the way orders are handled.
Crypto custody faces regulatory death-roll
New measures to safeguard digital assets threaten to squeeze the life out of custody business, insiders fear
Pay now or pay later: Regtechs make play to spare banks steep fines
After a record year of fines issued by the SEC, financial services firms are rushing to implement regtech solutions that can help mitigate their financial exposures.
SEC cyber rules risk creating web of confusion and costs
The regulator’s proposals would require breach notifications, public disclosures and annual cyber assessments.
A rough race begins: Industry faces uphill transition to T+1 settlement
With T+1 compliance set to begin next May, firms will likely be burdened by reduced IT budgets, existing legacy systems and manual processes over the next 15 months. So, while faster settlement will help innovate the middle and back office, some argue…
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SEC’s $5M Bloomberg BVAL fine targets ‘dark magic’ in fixed income pricing
Recent actions against Bloomberg and Ice for violations relating to evaluated pricing services suggest the US regulator may be setting the stage for stricter regulations to govern the sector.
Consolidated tapes gain ground in 2022
Regulators in the US, UK, and EU moved to push forward market data efforts this year.
Lessons from credit: Could all-to-all help Treasury markets?
Regulators are looking to all-to-all trading as a possible solution for worrying volatility and deteriorating liquidity in US Treasury markets.
Understanding investor overlap across late-stage private stocks
Investing in private markets is no longer just for venture capitalists and private equity funds. But as demand for stakes in these companies grows, so does the overlap in who is investing, as well as calls for more consistent valuations.
FTX failure resets US crypto legislative program
Lawmakers expected to seek stronger customer protection; industry wants flexibility for DeFi
Regulated firms warn against crypto market lockout
Onshore participants urge regulators to bring cryptocurrency trading out of the ‘shadows’
Industry mulls identifier schema for digital assets
As crypto markets face a reckoning in the wake of the FTX scandal, standard-setters and industry participants say identifiers for tokens are key for the industry’s stability.
Regulation of fixed income faces pivotal year ahead
Jo says the SEC’s Treasuries-focused regulatory agenda will come to fruition next year, and tech vendors will face the burden of those proposals.
Howson on steering Cboe past potholes and traffic cops
The head of the world’s largest options exchange discusses SEC regulation and SPX appeal.
All the pieces fit: connecting trader voice and messaging across workflows
Cloud9 expands Symphony's communication channels to trader voice, in an effort to simplify workflows as Wall Street struggles with compliant communications.
Chill winds blow for Capitolis’s equity swap platform
The fintech’s effort to revive off-balance-sheet funding runs into market and regulatory turbulence.
SEC deadline raises existential questions for US market data
This month, the commission must decide on a fee filing under its market data modernization efforts. Jo wonders how likely we are to see those efforts materialize any time soon.
PFOF regulation and market data: What does the future hold?
As a Congressional report delves into Robinhood's response to the meme stock frenzy of early 2021, Jo wonders how future regulation of payment for order flow will impact market data pricing.