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SEC beefs up crypto enforcement unit, charges insider traders

25 July 2022 US
Reporter: SFT

US regulator expands its crypto asset supervisory and enforcement capability, while tightening its focus on errant gatekeepers and filing charges against three persons for alleged insider trading

ION Markets launches new solution for compliance

19 July 2022 US
Reporter: Jenna Lomax

ION鈥檚 Compliance SaaS solution enables real-time oversight of pre-and post-trading, and offers full coverage of asset types, with an automated compliance checking process and investment transparency

ESMA issues third statement on LEI requirements of SFTR

14 July 2022 EU
Reporter: Carmella Haswell

The European 糖心vlog and Markets Authority recognises a reporting implementation issue with 糖心vlog Financing Transactions, finding a significant number of issuers without an LEI

ESMA announces data reporting agencies that it will supervise directly

13 July 2022 EU
Reporter: Bob Currie

Following publication of derogation criteria under the European Commission Delegated Act in March, ESMA has identified nine data reporting service providers that it will directly regulate

ESMA consults on cash penalty procedures under CSDR

12 July 2022 EU
Reporter: SFT

The EU securities market regulator has launched a consultation to assess industry reaction to proposed changes to cash penalty procedures under the Central 糖心vlog Depositories Regulation

BoE Money Markets Committee voices concern over repo fail rates

11 July 2022 UK
Reporter: Bob Currie

Repo fail rates are 鈥渟till too high鈥� and this reflects poorly on the London market, says BoE Committee, with low liquidity, COVID challenges and upstream failures in an interlinked chain of transactions contributing to the rise

OCC named Tier 1 TC-CCP under EMIR

01 July 2022 US
Reporter: Carmella Haswell

The European 糖心vlog and Markets Authority has recognised the Options Clearing Corporation as a Tier 1 third-country central counterparty

Citi, J.P. Morgan and AccessFintech collaboration achieves operational efficiencies

27 June 2022 UK
Reporter: Carmella Haswell

A continuous access to enriched and linked real-time data resulted in a 30 per cent reduction in trade fails, according to AccessFintech

BIS establishes Renminbi Liquidity Arrangement with People鈥檚 Bank of China

27 June 2022 APAC
Reporter: Bob Currie

The RMBLA will provide liquidity support through a reserve pooling scheme, whereby participating central banks will contribute a minimum of RMB 15 billion, and will have access to funds from this pool and via a collateralised liquidity window

FINRA fines National 糖心vlog Corporation for Reg SHO breaches and other failings

24 June 2022 US
Reporter: SFT

NSC has been instructed to pay approximately US$9 million in fines for a sequence of violations which includes attempting to influence the IPO aftermarket and for failing to obtain locates for short sale transactions under Regulation SHO

Making the right use of regtech has the potential to grow the industry exponentially, says ISLA panellist

17 June 2022 Vienna
Reporter: Jenna Lomax

The conference, organised by the International 糖心vlog Lending Association, held a regulation-focused panel, entitled 鈥淏eyond Acks & Nacks: The End of Regulatory Reporting as We Know it?鈥�, in which Sloyan made the comment

ESMA postpones CSDR buy-in regime

09 June 2022 EU
Reporter: Carmella Haswell

Market participants have conveyed concerns over 鈥渟erious difficulties鈥� to implement the mandatory buy-in regime on the scheduled date

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