OTC
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Switzerland and the UK sign agreement on mutual recognition in financial services
The Berne Agreement breaks new ground in the relationship between financial services in the UK and Switzerland.
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EU Consultation on OTC Derivatives: Implications for cross-border harmonization
Sam Tyfield considers the broader application for multinationals, market structure, technology, digital assets, regulation, and data privacy.
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Red alert on sanctions circumvention warns all that is gold does not glitter
Due diligence urged by multiple agencies to reduce risk of sanctions breaches.
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UBS fined for option reporting failures
FINRA fine and censure a result of uncorrected OTC reporting and supervisory failures at UBS spanning over a decade.