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Refinitiv SEF fined US$650,000 by CFTC for swap reporting failures

29 September 2021 US
Reporter: Bob Currie

US derivatives regulator penalises Refinitiv US SEF LLC for data reporting violations connected with at least 320,000 swap trades, following self-reporting of systems failures

ICMA publishes analysis of the first year of data on repo from SFTR reporting

28 September 2021 UK
Reporter: Carmella Haswell

ICMA publishes analysis of the key market features and trends in the European repo market after reporting under SFTR went live on 13 July 2020

ESMA prioritises sustainability, CMU and digitalisation for 2022

28 September 2021 EU
Reporter: Bob Currie

EU securities market regulator takes on new supervisory powers for benchmarks and data service providers and will concentrate on building a single rulebook and promoting its role as an EU capital markets data hub

ESMA recommends delaying buy-in rules

27 September 2021 France
Reporter: Carmella Haswell

The EU regulator has written to the European Commission urging it to reconsider a delay of the mandatory buy-in regime

ESMA launches consultation on MiFID II framework

24 September 2021 France
Reporter: Carmella Haswell

The consultation proposes improvements to the MiFID II framework on best execution reports, aiming to ensure effective and consistent regulation and investor protection

Hazeltree prepares for UMR compliance

23 September 2021 US
Reporter: Rebecca Delaney

Hazeltree Collateral Management has been upgraded to allow clients to comply with phases 5 and 6 of the Uncleared Margin Rules

Wematch and Pirum Systems to extend partnership for CSDR

23 September 2021 UK
Reporter: Carmella Haswell

After partnering in June 2020, Wematch and Pirum are developing a solution to assist clients in preventing CSDR failures

SEC pays out more than US$1 billion to whistleblowers over past decade

16 September 2021 US
Reporter: Bob Currie

The assistance that whistleblowers provide is crucial to the SEC鈥檚 ability to enforce the rules of the road for our capital markets, says Commission chair Gary Gensler

Fund Recs automates connectivity with DTCC鈥檚 GTR service

15 September 2021 UK
Reporter: Maddie Saghir

DTCC has partnered with Fund Recs to deliver new automated reconciliation capabilities in support of EMIR and SFTR trade reporting requirements

Banca del Ceresio adopts deltaconX platform

06 September 2021 Switzerland
Reporter: Jenna Lomax

Swiss based Banca del Ceresio has chosen deltaconX鈥檚 regulatory platform to fulfil its reporting obligations under FinfraG 鈥� a transaction reporting obligation put into effect by the Swiss Financial Market Infrastructure Act

Extradition of Hanno Berger approved by Swiss authorities

31 August 2021 Switzerland
Reporter: Bob Currie

Accused in German cum-ex scandal to be extradited from Switzerland, subject to appeal. Berger denies all charges

Malaysia鈥檚 intra-day short selling restrictions to remain until end of 2021

27 August 2021 Malaysia
Reporter: Bob Currie

Restrictions will continue on intra-day short sales, with changes proposed to the stock exchange trading system and application of an 鈥榓t-tick鈥� rule

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