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ESMA releases 2020 Annual Report

16 June 2021 France
Reporter: Bob Currie

EU securities market regulator reflects on its work during 2020 and actions relating to supervisory convergence, Single Rulebook and oversight of financial infrastructure

SEC declares its Annual Regulatory Agenda

14 June 2021 US
Reporter: Bob Currie

US securities market regulator announces its Spring 2021 rule-making programme, which includes provisions on securities lending markets, short-sale disclosure and the activities of SPAC companies

Gensler spotlights SEC thinking on T+0 settlement and payment for order flow

10 June 2021 US
Reporter: Bob Currie

US regulator asks staff to make recommendations on best execution, Reg NMS, commission payments and moves to a shorter settlement cycle

FINRA proposes changes to short sale reporting

08 June 2021 US
Reporter: Bob Currie

Industry asked to provide feedback on extension of reporting coverage, moves to daily or weekly submissions, and the value of a reporting framework for stock lending activity

Mind your language: Australian securities regulator targets activist short sellers

03 June 2021 Australia
Reporter: Alex Pugh

The regulator also implores market participants to snitch on any so-called suspicious short selling activity, as part of guidelines designed to protect targeted Australian companies

ESMA releases final report on market data obligations under MIFID II and MIFIR

01 June 2020 France
Reporter: Bob Currie

Guidelines on market data services include steps to extend access, at lower average cost and with higher levels of cost transparency

ESMA responds to European Commission鈥檚 Review of CSDR

28 May 2021 France
Reporter: Bob Currie

EU securities market regulator calls for reform of T2S supervision framework

ESMA firms up guidelines for SFT position calculation by trade repositories

26 May 2021 France
Reporter: Bob Currie

EU securities market regulator applies framework to ensure consistency across EMIR and SFTR

ESMA calls for lowering notification threshold of short positions

24 May 2021 France
Reporter: Alex Pugh

The reporting threshold on short positions was lowered from 0.2 per cent to 0.1 per cent in March last year but has since lapsed 鈥� leaving a data black hole, the regulator says

ISLA publishes GMSLA 2020 US tax addendum

21 May 2021 France
Reporter: Alex Pugh

The addendum covers qualified derivative dealer and securities lender status鈥�

Associations publish SFTR statement updating collateral provisions post-Brexit

19 May 2021 UK
Reporter: Alex Pugh

The UK SFTR Information Statement is based upon the Information Statement previously published and has been adjusted to reflect the equivalent provisions of UK SFTR

SEC needs to plug short selling data gap, says commissioner

18 May 2021 US
Reporter: Alex Pugh

Commissioner Caroline Crenshaw has joined a growing chorus of voices who, in the wake of the GameStop saga, are calling for greater transparency and reporting frequencies around short selling

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