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SEC postpones FINRA鈥檚 Rule 6500 SLATE again

29 October 2024 US
Reporter: Carmella Haswell

After previously extending the time period to reach its decision, the SEC has now filed a notice of designation of longer period for commission action on proceedings to determine whether to adopt the FINRA Rule 6500 Series

SEC adopts new rule for covered clearing agencies

28 October 2024 US
Reporter: Carmella Haswell

The US 兔子先生and Exchange Commission has also adopted new amendments regarding a covered clearing agency鈥檚 collection of intraday margin

ECMS official launch date announced

25 October 2024 EU
Reporter: Daniel Tison

National central banks of the euro area and their counterparties will test the system in a stable environment to ensure user readiness ahead of its official launch

ISDA Digital Regulatory Reporting takes effect in Australia and Singapore

21 October 2024 Australia, Singapore
Reporter: Daniel Tison

The updated regulations aim to enhance transparency and oversight in OTC derivatives markets in Singapore and Australia

Thailand to increase brokerage violation fines

21 October 2024 Thailand
Reporter: Daniel Tison

The fine penalty against naked short selling and failed margin calls will triple from 1 November

India rolls out direct payout system for securities transactions

09 October 2024 India
Reporter: Daniel Tison

This will eliminate brokers鈥� role in the settlement process of securities lending and borrowing from January 2025

Thailand proposes changes to securities trading regulations

08 October 2024 Thailand
Reporter: Daniel Tison

The proposed draft amendments aim to enhance the oversight of securities trading services, maintain fair practices, and clarify service provision of securities companies

ESMA consults on regulatory technical standards revision

03 October 2024 EU
Reporter: Daniel Tison

The proposed changes aim to reduce reporting burdens by aligning fields across financial regulations

UK EMIR reporting regime comes into force

30 September 2024 UK
Reporter: Daniel Tison

All newly entered or modified derivative trades at both trade and position levels need to comply with the new requirements

South Korea proposes changes to short selling regulations

27 September 2024 South Korea
Reporter: Daniel Tison

The revised bill aims to enhance regulations on short selling and is scheduled to lift the ban on short selling by the end of March 2025

ECMS postponed until 2025

26 September 2024 Europe
Reporter: Daniel Tison

The ECB鈥檚 Market Infrastructure Board requires additional time to achieve 鈥渟ufficient readiness for a smooth go-live鈥�

SEC charges New York investment advisor with short selling violations

19 September 2024 US
Reporter: Carmella Haswell

Gates Capital Management will pay disgorgement of US$432,564, prejudgment interest of US$5,445, and a civil penalty of US$57,615

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