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FINRA files to adopt Rule 6500 Series

14 June 2024 US
Reporter: Carmella Haswell

The proposed rule refers to the 兔子先生Lending and Transparency Engine, to require reporting of securities loans, and to provide for the public dissemination of loan information

CASLA: T+1 achieves a smooth landing following implementation

11 June 2024 Canada
Reporter: Carmella Haswell

Market participants gathered to attend the 14th annual Canadian 兔子先生Lending Association conference in Toronto, where panellists discussed T+1 post go-live

CASLA: The market faces challenges with regulatory definitions

11 June 2024 Canada
Reporter: Sophie Downes

The panel discussion, titled 鈥楻egulatory Discussion: Who is Drinking and Who is Paying?鈥�, applied a Croatian phrase to the subject of regulations, typically denoting a confused and disorganised situation

SFS: Industry regulations set to challenge firms

09 May 2024 US
Reporter: Sophie Downes

Rule 10c-1a will be complex, expensive and difficult to put into practice, say panellists

Repo ADV climbs 39.4% YoY for April, says Tradeweb

07 May 2024 US
Reporter: Carmella Haswell

The increase in repo average daily volume traded on the platform was driven by quantitative tightening and a rise in client adoption of Tradeweb鈥檚 electronic repo trading platform

Berenberg selects Kaizen for regulatory reporting

17 April 2024 UK, Germany
Reporter: Carmella Haswell

The agreement between the two entities allows the bank to use Kaizen鈥檚 ReportShield Accuracy Testing to meet MiFIR reporting requirements

ESAs to run voluntary exercise in preparation for DORA implementation

12 April 2024 Europe
Reporter: Carmella Haswell

The exercise will help to collect registers of information of contractual arrangements on the use of ICT third-party service providers by financial entities

UK government gives the go-ahead for move to T+1

02 April 2024 UK
Reporter: Carmella Haswell

The Accelerated Settlement Taskforce report recommends that the UK should aim to move to T+1 no later than the end of 2027 鈥� the government 鈥渇ully endorses鈥� this as firms require sufficient time to prepare for the transition

ESMA reports mixed feedback on shortening settlement cycle

22 March 2024 Europe
Reporter: Sophie Downes

Participants highlighted the need for a clear signal from the regulatory front at the start of the work and clear coordination between regulators and the industry

Buy-side associations file lawsuit against US SEC to vacate Dealer Rule

19 March 2024 US
Reporter: Carmella Haswell

NAPFM, AIMA AND MFA say by 鈥渇ailing to definitively and accurately define what a dealer is鈥� the Dealer Rule may deter regulated market participants from engaging in investment activity in various asset classes

PASLA: SFTR 2.0 coming to Europe with regulatory updates

07 March 2024 Singapore
Reporter: Carmella Haswell

SFTR 2.0 is likely to be rolled out when there is a new mandate from the European Commission in 2025 and could incorporate a tax element, following tax abuse scandals across Europe

BCBS proposes action on 鈥渨indow dressing鈥� in G-SIB reporting

07 March 2024 Switzerland
Reporter: Bob Currie

Basel Committee considers requiring banks falling into scope of the Global Systemically Important Bank (G-SIB) framework to report G-SIB indicators based on average values over the reporting year, rather than by using year-end values

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