Insights, Archived
Research, white papers and articles
MiFID III
Overview and timelines, Recent Amendments to the MiFID Framework for UK, Financial Services and Markets Act 2023, Policy Statement 23/4 on Improving Equity Secondary Markets, European Commission Proposed Amendments for EU, COM(2021)727 Proposal For Amendments to EU No 600/2014, EU Retail Investment Strategy Proposal
SEC Rule 606: Disclosure of Order Routing Information
Overview, Regulatory Timelines, Quarterly Report on Order Routing, Requirements for Customer Requests for Order Routing Information, Disclosure to Customers of Execution Venue of Customers Orders, Detailed Disclosure to Customers of Order Handling
Challenges in enhanced reporting: CFTC Rewrite and EMIR REFIT
Firms continue to contend with regulatory challenges as the drive to standardize regulatory reporting persists. Regulators continue to strengthen their focus on transparency and harmonization, particularly in the derivatives space
SEC Rule 605: Disclosure of Order Execution Information
Overview, Regulatory Timelines, Required Content in the Monthly Reports, Changes to the Rule with SEC Proposed Amendments, Elements Required to be Reported with SEC Proposed Rule Updates, New Section Covering Executions of Market and Marketable Limit Orders
1446(f): Withholding Tax on U.S. Partnerships Interests
Overview, Section 1446(f) Withholding Tax Exceptions, Regulatory Timelines, Withholding Agent Responsibilities, Key Considerations for Brokers in Preparing for Rule Compliance, Illustrative Example of 1446(f) Withholding Tax Workflow