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SEC narrows securities association membership exemptions for firms trading off exchange

24 August 2023 US
Reporter: Bob Currie

Outlining the need for these amendments, 쮸떴눈첵 and Exchange Commission chair Gary Gensler indicates that some broker-dealers continue to rely on exemptions from national securities association registration that are �쐎lder than the cell phone era

ESMA opens consultation on operating procedures for cryptoasset service providers

21 August 2023 EU
Reporter: Bob Currie

The consultation package provides a framework to guide the activities of service providers under the Regulation on Markets in Cryptoassets (MiCA), which entered into force in the European Union on 29 June 2023

SEC fines 10 broker-dealers for record keeping failures

08 August 2023 US
Reporter: Bob Currie

The 쮸떴눈첵 and Exchange Commission has charged 10 broker-dealer firms with recordkeeping failures and violations relating to their use of electronic communications

BoE proposes extra powers to restrict payments to CCP shareholders in stress conditions

03 August 2023 UK
Reporter: Bob Currie

As part of its responsibility to preserve financial stability, the Bank of England has proposed additional powers to restrict discretionary payments to CCP shareholders or employees in severe circumstances, including dividends and share buy-backs

New-Jersey ETF Managers fined for breaches relating to award of securities lending mandate

02 August 2023 US
Reporter: Bob Currie

The 쮸떴눈첵 and Exchange Commission has fined a New Jersey-based exchange-traded fund manager for breaches relating to the award of a securities lending mandate and for taking actions detrimental to the best interests of the fund and its investors

Clearstream picks Regnology�셲 Rcloud for cloud-enabled regulatory reporting

02 August 2023 Germany
Reporter: Jenna Lomax

The platform, powered by Google Cloud Platform, was launched in November 2022 and delivers report submission and reporting data software

FCA updates guidance on regulatory reporting for short sales and SFTs

28 July 2023 UK
Reporter: SFT

The UK financial regulator will extend temporary measures introduced in January 2022 relating to short sales reporting under UK RTS 22 and it will widen these provisions to SFT fields and other indicators

CFTC proposes elimination of securities lending trade restrictions

27 July 2023 US
Reporter: Carmella Haswell

The Commodity Futures Trading Commission proposes to eliminate a provision disqualifying securities issued by certain pooled investment funds that transfer assets through securities lending and borrowing, repo and reverse repo

ESMA withdraws third-country recognition from UAE CCPs

26 July 2023 UAE
Reporter: Bob Currie

The European Commission has highlighted �쐓trategic deficiencies�� in the UAE�셲 anti-money laundering and counter financing of terrorism regime and added the jurisdiction to its list of high-risk countries on 16 March 2023

FCA to offer Digital Sandbox on permanent basis

21 July 2023 UK
Reporter: SFT

The UK regulator will extend access to the scheme to a wider range of start-ups and allow data providers to list their data on the platform, extending access to over 200 synthetic, public or anonymised data sets

ESMA proposes changes to CCP anti-procyclicality requirements

20 July 2023 EU
Reporter: Bob Currie

These recommendations aim to contain the impact of large margin changes on clearing participants and their clients, and to prevent contagion of liquidity stresses to other parts of the financial ecosystem

FCA fines Bastion Capital for cum-ex violations

13 July 2023 UK
Reporter: Bob Currie

The UK regulator ruled that the transactions were carried out in a way �쐔hat was highly suggestive of financial crime�� and that the broker had failed to manage risk that it was being used to facilitate fraudulent trading and moneylaundering

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