Regulation and Compliance

Lead Content

The Future of Research in the U.S. after MiFID II (CFA Institute, 2019)

In a 26 June 2019 letter to Jay Clayton, Chair of the US Securities and Exchange Commission (Commission or SEC), CFA Institute, together with the Healthy Markets Association (Healthy Markets) and…

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CFA Institute

10 Sep 2019

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Being Better Informed (monthly) FS regulatory, accounting and audit bulletin - PwC, Sep 2019

A monthly bulletin of regulation, accounting and audit practices from PricewaterhouseCoopers.

The Value of Intermediation in the Stock Market (2019)

How are brokers creating value for investors? This HBS paper looks at the current state of intermediation, bundled services, and MIFID II regulations.

TOP RECENT POSTS

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Increased corporate concentration and the influence of market power (Barclays IB, 2019)

Tesla's Travails: Curfew for a Corporate Teenager? (Aswath Damodaran blog, Jun 2019)

Long-Term Equity Investments for European Insurers (DWS AM, Jun 2019)

Unrecognized Secular Changes in the Bond Market since the 2008 Crisis That May Precipitate the Next Crisis (2019)

The Private Equity Report, Spring 2019 (Debevoise & Plimpton)

Performance Magazine, Issue 29 (Deloitte, May 2019)

The Institutional Investor Guide to Securities Lending (ISLA, 2019)

Custodian and Depositary Banks: An outlook of the industry (Deloitte, 2019)

Non-U.S. Investment Funds and Managers: Regulatory Framework for Raising Capital in the U.S. (Allen & Overy, 2019)

Evolving Asset Management Regulation: A sea of voices (KPMG, 2019)

UK Guidance on Cryptoassets: Feedback and Final Guidance to CP 19/3 (FCA, 2019)

IBOR reform – what is the urgency about? (SimCorp blog, Aug 2019)

TOP NEWS AND BLOGS

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Wake up, US Federal Reserve! China just showed how digital currency is done (VentureBeat)

California Senate passes bill to tighten "gig" worker rule (Reuters, Sep 2019)

Over 100 London investment firms get EU licences for Brexit hubs: regulator (Reuters, Sep 2019)

Facebook's Libra seeks payment system license from Swiss FINMA (Reuters, Sep 2019)

Staff Letter: Engaging on Non-DVP Custodial Practices and Digital Assets

James M. Daly, Division of Corporation Finance Associate Director, to Retire from the SEC After More Than 38 Years of Service

Accounting and Disclosure Information 2018-09: Improving Principal Risks Disclosure

SEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations

Verbal No-Action Decisions Questioned

SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan