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Wirecard: German regulators failed to heed red flags by short sellers

04 November 2020 Paris
Reporter: Drew Nicol

ESMA has published its assessment of the events leading to the collapse of Wirecard and the effectiveness of the supervisory response by Germany鈥檚 BaFin and FREP

Many firms remain 鈥渋n the dark鈥� on new SFTR reporting rules, says Cappitech

03 November 2020 Herzliya, Israel
Reporter: Drew Nicol

A lack of expertise around SFTR is among the securities finance industry鈥檚 biggest challenges and causes of concern highlighted in Cappitech's third annual global survey

HSBC completes first securities loans by an offshore investor in China

02 November 2020 Shanghai
Reporter: Drew Nicol

Foreign investors are now able to engage in securities financing in Mainland China under the newly-reformed QFII scheme, with HSBC and Citi among the first custodians to facilitate trades

Citibank facilitates SBL trades in China A-share market under new QFII

02 November 2020 Shanghai
Reporter: Drew Nicol

Citibank is among the first custodians to complete a securities lending transaction in the China A-share market under the reformed Qualified Foreign Institutional Investors scheme which went live on 1 November

MarketAxess reports first returns from SFTR solution

29 October 2020 London
Reporter: Drew Nicol

Revenue from the SFTR service 鈥� which launched in partnership with EquiLend 鈥� is collated as part of MarketAxess鈥� information service and post-trade services earnings, totalling $13.4 million in Q3

FCA flexing its muscles with ARCM short selling penalty

26 October 2020 London
Reporter: Drew Nicol

The FCA鈥檚 reaction to ARCM鈥檚 short selling disclosure violations is being taken as a statement of intent by market participants that the regulator will pursue enforcement actions regardless of intent or external factors

EC agrees to new CSDR delay until 2022

23 October 2020 Brussels
Reporter: Drew Nicol

The settlement discipline regime, which was originally due to go into force in September, will now come into effect on 1 February 2022

Cum-ex: legal opinions are no sure defence, warn tax experts

20 October 2020 London
Reporter: Drew Nicol

鈥淲hat is clear that merely going through the motions of obtaining advice, which on the face of it may provide some comfort, will not afford a blanket defence,鈥� Rahman Ravelli director tells SLT

EC eyes SRD II and CSDR reforms

19 October 2020 Brussels
Reporter: Drew Nicol

The European Commission's latest CMU action plan has hinted at potential remedies to securities finance regulatory bug-bears including SRD II and CSDR

Suptech and regtech on the rise, says FSB

15 October 2020 Basel
Reporter: Maddie Saghir

Opportunities offered by suptech and regtech have been created by a combination of factors that have come to the fore in recent years, although risks also follow, the board outlines in a new report

UK鈥檚 FCA concludes first SSR enforcement against HK asset manager

14 October 2020 London
Reporter: Drew Nicol

The regulator鈥檚 first-of-its-kind SSR fine was handed to Asia Research and Capital Management for failing to report hundreds of equity swaps transaction used to hedge its investment in Premier Oil between 2017 and 2019

UAE revises SBL rules, launches short selling facility

13 October 2020 Abu Dhabi
Reporter: Drew Nicol

The Abu Dhabi 糖心vlog Exchange has amended its securities lending guidelines to facilitate the launch of a new covered short selling facility

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