Central counterparties should consider potential conflicts in various relationships
Report follows the conclusion of ESMA’s review of the current fee structures in the credit rating and trade repository industries
The draft technical standards aim to help financial services firms manage money laundering and terrorist financing risks in situations in which they have subsidiaries in certain countries
The guidelines aim to ensure greater consistency in reporting by trade repositories
The impact of fees on investor returns varies across jurisdictions, asset classes and client types
Whether Canadian securities dealers can establish a global model of payment for research will depend on U.S. regulatory accommodation to MiFID II
Principles are aimed at consistency for firms leaving the U.K.
No strong case for the creation of specific licensing categories for fintech startups, consultation paper says
Manufacturers of financial products must specify a target market of end clients for whom the products are intended
The German and U.K. divisions of Moody’s Investors Service breached rules governing credit rating agencies