US trade lobbies call for review of regulatory burden
September 3, 2014 - The Financial Services Roundtable (FSR) and the Securities Industry and Financial Markets Association (SIFMA) submitted a comment letter to the federal banking regulators today requesting changes to a host of banking regulations that are outdated, unnecessary or unduly burdensome for financial services companies.
Deutsche Bank fined £4.7 million for transaction reporting failures
August 28, 2014 - Deutsche Bank AG London Branch (Deutsche) has been fined £ 4,718,800 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions between November 2007 and April 2013.
KPMG Says EU Plans for Bank-Structure Overhaul Must Be Scrapped
August 21, 2014 - (Bloomberg) A European Commission plan to separate lenders' consumer and investment-banking arms must be halted, said KPMG LLP, auditor to some of Europe's largest banks.
UK fintech industry bands together to push innovation agenda
August 6, 2014 - An industry body promising to be the 'voice of UK fintech' launched today, with more than 50 founding members onboard and the backing of government.
SEC rules benefit dark pools over lit markets - CMCRC
July 30, 2014 - The Capital Markets Cooperative Research Centre (CMCRC) have published a new paper finding that SEC trading rules may be providing dark venues a regulatory advantage over traditional stock exchanges.
ISACA Outlines Five Principles for Effective Information and Technology Governance
July 22, 2014 - In new guidance issued today, global IT association ISACA outlines five principles organizations can use to effectively govern and manage their information and technology.
Regulatory Drivers Predominant Force of Change in Next Phase of Hedge Fund Industry: Citi Investor Services Survey
June 30, 2014 - Regulation will be the key driver in the next phase of the rapidly evolving hedge fund industry, according to Part II of the Citi (NYSE:C) Investor Services' 5th Annual Industry Evolution survey.
SEC Adopts Cross-Border Security-Based Swap Rules
June 25, 2014 - The Securities and Exchange Commission today adopted the first of a series of rules and guidance on cross-border security-based swap activities for market participants. The new rules will be key to finalizing the remaining proposals.
