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Regulatory/Legal


United States/Americas

SEC weighs requiring brokers to identify where trades made: report
By Reuters
04/21/2014 12:46:42 PM ET

WASHINGTON (Reuters)—The U.S. Securities and Exchange Commission is weighing a proposal that would require brokers to tell investors exactly where their stock trades are executed, Bloomberg reported on Saturday [April 19].
SEC eyes test that may lead to shift away from 'dark pools'
By Reuters
04/11/2014 1:05:56 PM ET

WASHINGTON/NEW YORK (Reuters)—U.S. securities regulators are considering testing a proposed reform that could drive business to major stock exchanges and away from alternative trading venues such as "dark pools" that critics say may be hurting investors by reducing the quality of pricing.
Europe

States say draft EU rules could undermine market benchmarks
By Reuters
04/14/2014 3:24:54 PM ET

BRUSSELS (Reuters)—Draft European Union law to regulate financial instruments could undermine major market benchmarks such as Brent crude unless the same rules apply to non-EU countries, Britain and four other EU nations warned. The European Commission, the EU executive, published a draft proposal last year on rules to prevent the rigging of financial benchmarks.
Bank of England shake-up may trigger rate-setter changes
By Reuters
03/17/2014 4:48:03 PM ET

LONDON (Reuters)—Governor Mark Carney's first big shake-up of the Bank of England could set off changes on its interest rate-setting committee, with markets chief Paul Fisher at risk of losing out. Carney, who took over last year, had already been planning changes to the upper echelons when the central bank was drawn into a scandal over alleged manipulation of currency markets.
Asia/Australia

Hong Kong to review rules around alternative liquidity pools
By Reuters
02/27/2014 2:12:48 PM ET

HONG KONG (Reuters)—Hong Kong will launch a consultation period concerning future regulation of dark pool trading networks, the territory's securities regulator said on Thursday [Feb. 27].
DOJ probes finance firms' dealings with Libya
By Reuters
02/03/2014 12:21:20 PM ET

WASHINGTON (Reuters)—The U.S. Department of Justice is investigating banks, private equity firms and hedge funds that may have violated anti-bribery laws in their dealings with Libya's government-run investment fund, The Wall Street Journal reported, citing people familiar with the matter.
International

DOJ probes finance firms' dealings with Libya
By Reuters
02/03/2014 12:21:20 PM ET

WASHINGTON (Reuters)—The U.S. Department of Justice is investigating banks, private equity firms and hedge funds that may have violated anti-bribery laws in their dealings with Libya's government-run investment fund, The Wall Street Journal reported, citing people familiar with the matter.
EU bank trading plan stops short of U.S. Volcker rule
By Reuters
01/06/2014 1:16:20 PM ET

LONDON (Reuters)—Banks in the European Union face limits on taking market bets with their own money under a draft EU proposal that represents a central plank of attempts to prevent a repeat of the financial crisis of 2007 to 2009. Policymakers want to rein in excessive trading risks in the EU banking sector, whose assets total some €43 trillion ($59 trillion), that could threaten depositors if trades go wrong and potentially put taxpayers on the hook in a rescue.






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