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UK regulators report back on AI and Machine Learning consultation

26 October 2023 UK
Reporter: Bob Currie

Feedback statement publishes anonymised summary of consultation responses reflecting on how AI may impact regulators�� ability to deliver prudential and conduct of business supervision in the UK financial sector

ESMA and EBA publish joint guidelines consultation paper

23 October 2023 Europe
Reporter: Lucy Carter

The European Banking Authority and the European 쮸떴눈첵 and Markets Authority have released a consultation paper on two draft joint guidelines under the Markets in Crypto-Assets regulation

ECB identifies material weaknesses in managing credit risk with non-bank counterparties

23 October 2023 EU
Reporter: Bob Currie

This review, conducted in H2 2022, was based on a review of governance and counterparty credit risk management at 23 organisations involved in trading derivatives and securities financing transactions with non-bank counterparts

SEC fines Anson Advisors for short selling violations

20 October 2023 US
Reporter: SFT

The US securities markets regulator found that Toronto-based AAI had violated SEC Rule 105 which prohibits short selling of an equity during a restricted period, typically five business days prior to a covered public offering

SEC adopts Rule 10c-1 relating to reporting of sec lending trades

16 October 2023 US
Reporter: Bob Currie

Almost 18 months after the close of its two-stage public consultation, the US securities regulator has released final rules for implementation of Rule 10c-1 relating to the reporting of securities lending transactions

RMA: US banking regulators �쁣ailing�� to deliver on Basel III Endgame goals

13 October 2023 US
Reporter: Carmella Haswell

US banking regulators are not delivering Basel III Endgame goals of improving risk sensitivity and comparability, panellists heard at the RMA Conference

RMA: US Treasury Clearing proposal to increase costs

13 October 2023 US
Reporter: Carmella Haswell

The anticipated US Treasury Clearing proposal has caused concern for some firms, which indicate that the costs of its implementation will outweigh the benefits

RMA: Tax regulation: a 'labyrinth' creating collaborative opportunities

13 October 2023 US
Reporter: Carmella Haswell

Tax regulation is a �쁫abyrinth�� that is constantly changing, and is an entity that plays a prominent role in securities finance

BCBS releases adoption progress update

03 October 2023 Switzerland
Reporter: Lucy Carter

The update considers outstanding standards that remain after the Basel III framework�셲 1 January 2023 implementation date, outlining progress that has been made by BCBS member jurisdictions since the end-September 2022 update

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