Regulators



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‘Tick Size’ Pilot Needs Streamlining, STA Says

09.26.2014

A proposed pilot program to deepen liquidity in some small-capitalization stocks by widening minimum quoting and trading increments has conceptual … Read more

MiFID II Vexes European Buy Side 

09.25.2014

Fund managers will to change their workflows to meet best execution requirements under new trading rules in the European Union. … Read more

Canadian Market Structure Parsed

09.05.2014

With an effective regulatory regime and comparatively low representation of the high-frequency trading and dark pools that cause consternation in … Read more

Sapient Warns on Trade Reporting 

08.15.2014

Sapient Global Markets, the consultancy, warned that regulators will be unable to identify systemic risks until there are global standards … Read more

Exchanges Defend European Data Fees 

08.08.2014

Exchanges have defended their market data fees in Europe to regulators despite complaints from fund managers that the charges are … Read more

ICE’s Sprecher Talks Equity Market Structure

08.07.2014

IntercontinentalExchange is one of the most influential market operators in the world, and chief executive Jeff Sprecher is by extension … Read more

European Fund Managers Blanch at Data Costs 

08.07.2014

Fund managers told European regulators market data fees in the region are too high in comparison to the US and … Read more

Fund Managers Warn on Esma Research Proposals 

08.06.2014

Fund managers and Sifma have warned that the proposal from European regulators to impose restrictions on using dealing commissions to … Read more

Candriam Does More With Less

08.05.2014

European trading desk handles more order flow with the same headcount. Read more

SEFs: Volatility, Please

08.05.2014

Aside from the shifting regulatory playing field and buy-side unfamiliarity with the structure,  there is a more fundamental cause behind … Read more

Agency Brokers Gain on ‘Bulge Bracket’

08.04.2014

Broker-dealers whose business model is trade-execution only are gaining traction with the buy side, at the expense of sell-side banks … Read more

DTCC Launches Data and Documentation Utility 

08.04.2014

The Depository Trust & Clearing Corporation, together with six banks, is launching a platform to centrally store legal entity data … Read more

OPINION: Marketing Under Microscope

07.07.2014

Eric Schneiderman turned heads on Wall Street late last month when the New York Attorney General sued Barclays for misrepresenting … Read more

Reassessing Dark Pools

07.02.2014

Scrutiny on equity-trading venues that are out of the ‘light’ of public exchanges is ratcheting up in the wake of … Read more

Summer C-Level Series: Tony McCormick, BOX Options Exchange

07.01.2014

What have been the main themes of your business so far this year? Read more

Malaysia Awaits CFTC Direct-Access Approval

06.19.2014

Average daily trading volumes at Bursa Malaysia doubled after the launch of a partnership with CME Group and could receive … Read more

Branching Out

06.18.2014

BMO Global Asset Management steps up from just a regional player Read more

Buy Side Assesses Pre-Trade Compliance

06.17.2014

Pre-trade compliance has become a major pain point for buy side firms as regulations, especially around OTC derivatives, place the … Read more

Wanted: Bond Liquidity

06.11.2014

Axa Investment Managers adapts to a more barren fixed-income landscape Read more

Got Compliance?

06.03.2014

This entry is part 4 in the series Institutional Equity Traders Tap Pre-Trade AnalyticsInstitutional investment firms manage money on behalf … Read more


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