The US Securities and Exchange Commission (SEC) is seeking to extend an exemption put in place October 2017 (and set to expire in July 2020) that allows US banks to sell research directly to European fund managers under MiFID II without registering as investment advisors. According to the Financial Times, the regulator made the statement to a group of investment banks and fund managers at a meeting last week.
Date: 1 December 2026 Time: 10:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes The UK, EU and Swiss markets move to T+1 settlement on 11 October 2027, but the first binding compression arrives almost a year earlier. ESMA’s amended settlement discipline RTS expects allocation and confirmation completed by 23:00 CET on trade...
The European Banking Authority’s Reporting Framework 4.3 gives financial institutions their first machine-readable view of the data that will support the EU’s selection of firms for direct anti-money laundering supervision. Published earlier this month, the framework marks an intermediate step towards the first formal risk-assessment and selection exercise by the Authority for Anti-Money Laundering and...
Buy AND Build: The Future of Capital Markets Technology London examines the latest changes and innovations in trading technology and explores how technology is being deployed to create an edge in sell side and buy side capital markets financial institutions.
Welcome to the fourteenth edition of A-Team Group’s Regulatory Data Handbook. Supervisors increasingly expect firms to demonstrate which rules apply, which data supports each obligation, who owns the control and how exceptions are identified and resolved. Policies and implementation programmes must now be supported by records that can withstand regulatory scrutiny. This edition examines material...