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Market Surveillance
The U.S. equity markets have moved a step closer to establishing a consolidated audit trail for equities and equity options that will track all orders throughout their lifecycle, addressing a major weakness in the ability of regulators to monitor these markets.
CONTINUE READINGInsight: Three Principles for Regulatory Reform
A message from Walt Lukken, president and CEO, FIA
CONTINUE READINGGoing Public
After months of preparations and regulatory negotiations, BSE completed its initial public offering on Feb. 3.
CONTINUE READINGFCM Capital
On Jan. 26, the CFTC's division of swap dealer and intermediary oversight issued a no-action letter enabling futures commission merchants to withdraw excess residual interest in cleared swaps customer accounts under certain conditions.
CONTINUE READINGEnd-User Relief
On Jan. 12, the U.S. House of Representatives passed the Commodity End-User Relief Act, a bill that would authorize the CFTC to operate through 2021.
CONTINUE READINGEMIR Under Review
Steven Maijoor, the chairman of the European Securities and Markets Authority, called for "an ambitious EMIR review" in a Jan. 23 speech in Amsterdam.
CONTINUE READINGDodd-Frank Revamp
On Feb. 3, President Trump issued an executive order outlining seven core principles for financial market oversight and calling on regulators to review existing laws and regulations to determine if they promote these principles.
CONTINUE READINGData Viz for Traders
In February, Fidessa announced that its front-end trading system will incorporate innovative charting services provided by ChartIQ, a fintech startup that offers HTML5 data visualization.
CONTINUE READINGCross-Border Cooperation
The Securities and Futures Commission of Hong Kong signed a memorandum of understanding on Jan. 18 with the Securities and Exchange Commission of the U.S. providing for consultation, cooperation and the exchange of information regarding the supervision and oversight of regulated entities that operate on a cross-border basis in the two jurisdictions.
CONTINUE READINGCountdown to April
Canada is set to implement mandatory clearing for interest rate swaps and certain other OTC derivatives in April, following the finalization of two sets of rules on Jan. 19 that spell out what instruments and which entities are subject to the new requirements and strengthen the protections around customer positions and assets.
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