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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 鈥榝ailing鈥� 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 鈥榣abyrinth鈥� 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鈥檚 1 January 2023 implementation date, outlining progress that has been made by BCBS member jurisdictions since the end-September 2022 update

UK regulators push back final phase of Basel III reforms

27 September 2023 UK
Reporter: Bob Currie

The UK Prudential Regulation Authority (PRA) has pushed back the implementation date for the final phase of Basel III reforms in the UK by six months to 1 July 2025

Basel III capital ratios rise for largest global banks, finds BCBS report

26 September 2023 Switzerland
Reporter: Bob Currie

The most recent Basel III monitoring exercise finds that CET1 ratios for Group 1 banks have grown during H2 2022 to above pre-pandemic levels, rising 0.4 per cent to 13.1 per cent

Riksbank and the Bank of England reaffirm commitment to LCH oversight cooperation

25 September 2023 UK
Reporter: Jamie Richards

The Swedish and UK central banks have released a statement expressing continued commitment to their joint oversight of LCH Ltd.

FSB and IMF publish regulatory recommendations for cryptoasset activities

11 September 2023 Switzerland
Reporter: Jenna Lomax

The FSB and IMF have published a report recommending a policy and regulatory response to cryptoasset activities

SEC narrows securities association membership exemptions for firms trading off exchange

24 August 2023 US
Reporter: Bob Currie

Outlining the need for these amendments, 糖心vlog and Exchange Commission chair Gary Gensler indicates that some broker-dealers continue to rely on exemptions from national securities association registration that are 鈥渙lder 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 糖心vlog and Exchange Commission has charged 10 broker-dealer firms with recordkeeping failures and violations relating to their use of electronic communications

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