Regulatory compliance

CSA proposes commission ban rules

The Toronto-based Canadian Securities Administrators (CSA) recently published for comment a notice outlining proposed amendments that would prohibit investment fund managers from paying upfront sales commissions to dealers, and trailing commissions to dealers who do not make a suitability...
Broadridge launches New MiFID II solution

Broadridge Financial Solutions, Inc, a global financial technology player, says it has launched a new solution to support investment firms with its markets in financial instruments directive II (MiFID II) ex-post reporting obligations. It describes this as part of a suite of MiFID II services...
Eagle Investment Systems and ACA Compliance Group collaborate

Eagle Investment Systems LLC, a BNY Mellon company and provider of financial services technology, and ACA Compliance Group (ACA), a provider of risk management and technology solutions focussed on regulatory compliance and performance, today announced that they have collaborated to help standardize...
PKO Bank in LEI first claim

PKO Bank Polski is laying claim to being the first bank in Poland to allow clients interested in treasury product transactions to obtain legal entity identifier (LEI) codes from the country's central securities depository, KDPW. It says a partnership between it and KDPW sets a new standard in the...
IM Phase 3 implementation gets under way


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