The new rule will have a massive impact outside of the EU.
'People are responding well' to Robert Cook, the SRO's still-new CEO.
Harmonized rules do not necessarily mean identical rules.
Long-pondered audit trail will soon be a reality.
For trading firms, sorting out workflows is high up on the CAT to-do list.
The CFTC Chairman eyes a more mature framework for the industry.
The asset manager readies for MiFID II's research de-bundling requirement.
NYSDFS will use peer data to detect reporting discrepancies.
The self-improvement program tweaks enforcement and engagement practices.