2 - 2016 - Planet Compliance

FINRA Approves Enhanced Price Disclosure to Retail Investors in Fixed-Income Securities

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The Financial Industry Regulatory Authority’s Board of Governors today approved a proposal designed to help retail customers understand and compare transaction costs in fixed-income securities. The proposal, subject to the approval of the Securities and Exchange Commission, would require member firms to disclose on retail customer confirmations the “mark-up” or “mark-down” for most transactions in …

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IOSCO issues Second Review of Implementation of Principles by IBOR Administrators

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The report sets out the findings of Review of the implementation of IOSCO’s Principles for Financial Benchmarks by the administrators of the EURIBOR, LIBOR and TIBOR. This report provides an overview of findings, background to the review, details of how the review was conducted, as well as more detailed findings in respect of each individual administrator. …

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PRA issues publications on fees, internal governance of third country branches and guidelines for regulatory reports

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The Prudential Regulation Authority (PRA) has issued the following publications: PRA Rulebook: Fees Part and response to CP40/15 – PS7/16 Internal governance of third country branches and response to CP3/16 – PS8/16 Fees: PRA approach and application – SS3/16 Internal governance of third country branches – SS4/16 Guidelines for completing regulatory reports – SS34/15 UPDATE …

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FCA publishes good practice for liquidity management for investment firms

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The FCA has published a statement on its work with the Bank of England, at the request of the Financial Policy Committee (FPC), to assess risks posed by open-ended investment funds investing in the fixed income sector. As part of this work the FCA has engaged with a number of large investment management firms to understand …

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26 February 2016

FINRA Approves Enhanced Price Disclosure to Retail Investors in Fixed-Income Securities

IOSCO issues Second Review of Implementation of Principles by IBOR Administrators

PRA issues publications on fees, internal governance of third country branches and guidelines for regulatory reports

FCA publishes good practice for liquidity management for investment firms

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