Regulation

News Feed

12 Aug 2019 — DRS Ltd Feed

Last July, ISDA decided to add French and Irish law to our library of Master Agreements in an attempt to prepare for potential Brexit complications. As mentioned in our earlier post, the objective of this is not to undermine English and New York law, but merely to offer an alternative so firms are awarded a greater choice.

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15 Apr 2019 — RegTek.Solutions Feed

by Brian Lynch, CEO & Co-Founder of RegTek.Solutions


US Map CFTC Swap Reporting

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11 Apr 2019 — ISDA Feed

In January 2019, the final piece of Basel III fell into place with the publication of the revised framework for market risk capital, known as the Fundamental Review of the Trading Book (FRTB).

The FRTB makes a number of important changes, including the introduction of a more risk-sensitive standardized approach (SA), desk-level approval for internal models, and a capital add-on for non-modellable risk factors (NMRFs).

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10 Apr 2019 — RegTek.Solutions Feed

10 April 2019, London & New York: RegTek.Solutions, leading provider of global regulatory reporting solutions, today announced the extension of its award-winning platform to include a full reporting solution for the Securities Financing Transactions Regulation (SFTR).

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28 Feb 2019 — Financial Conduct Authority Feed

The Financial Conduct Authority (FCA) has published near-final rules and guidance that will apply in the event the UK leaves the EU without an implementation period.  As most of the changes proposed will be made under powers given to the FCA under the EU (Withdrawal) Act, they are subject to approval by the Treasury. 

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27 Feb 2019 — JDX Consulting Feed

27 FEBRUARY 2019
BY MICHAEL ROBERTSON

With little over a month until the UK is scheduled to leave the European Union, JDX continues to monitor some of the key challenges which could impact financial services companies in the event of a ‘no-deal’ Brexit.

Many firms will have assessed their readiness for Brexit on the basis of having a transitionary period after 29 March, but we now have to strongly consider a cliff-edge outcome where the UK effectively crashes out of the EU with no formal agreements in place around key areas such as financial services.

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14 Dec 2018 — RegTek.Solutions Feed

SFTR go live confirmed for Q2 2020

The European Commission has yesterday adopted the measures under the Securities Financing Transactions Regulation (SFTR), effectively setting the go-live date at Q2 2020.

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05 Dec 2018 — DRS Ltd Feed

excellent post on UMR from DRS - a must read for any firm who might be in Phase 4 or 5. Bill


Rising to the repapering challenges of IM Phases 4 and 5   Introduction The deadline for compliance with Phase 4 and Phase 5 of the IM requirements is miles away, isn’t it?  Isn’t it…? The truth is that, whether you like it or not, the clock is already ticking.  Whether anyone has told you or […]

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22 Nov 2018 — RegTek.Solutions Feed

Brexit adds to the burden

Aka – Not another bloody Brexit article

Aka – A look at the Consultation Paper on changes to the FCA handbook

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20 Nov 2018 — DRS Ltd Feed

Bill: More work for Phase 4 UMR, if we're unlucky.


Opinions obviously vary, but for me there are very few opportunities to be glad not to be Australian. Here is one for already punch-drunk IM lawyers and compliance personnel. The largest four banks in New Zealand are Australian-owned- ANZ, ASB, BNZ and Westpac. New Zealand is not a G20 member and has therefore been (relatively) […]

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19 Nov 2018 — DavisPolk FinRegReform Feed

As we emerge from the midterm election season, we have updated our brief deck summarizing the leadership and staffing changes among federal financial regulators, including announced nominations, confirmations, resignations and expiring terms.  The first slide summarizes the state of play for the agencies’ principals; the later slides provide a deeper look on an agency-by-agency basis, including select senior staff.  We intend to continue to update this res

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