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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

SFTR: Buy side start reporting

12 October 2020 London
Reporter: Drew Nicol

Buy-side members must begin reporting their SFTs from today as part of the third phase of implementation

Deutsche Bank to create service for securities settlement delays

09 October 2020 London
Reporter: Maddie Saghir

Deutsche Bank is set to launch an enhanced securities settlement service that proactively identifies in-flight security transactions at risk of settlement delay

deltaconX signs up Investitionsbank des Landes Brandenburg for SFTR

06 October 2020 Lucerne
Reporter: Natalie Turner

The German bank, Investitionsbank des Landes Brandenburg, is deltaconX鈥檚 latest client to sign up for its SFTR reporting solution ahead of phase four

Morgan Stanley to pay $5 Million to SEC for Reg SHO violations

01 October 2020 Washington D.C.
Reporter: Drew Nicol

The US SEC order found that since Regulation SHO鈥檚 adoption in 2004 Morgan Stanley has 鈥渋mproperly relied on the exception to firmwide netting of all of its positions in a particular equity security through its use of the long and short units鈥�

ESMA confirms recognition of three UK CCPs post Brexit

30 September 2020 London
Reporter: Maddie Saghir

LCH, ICE Clear Europe, and LME Clear will be eligible to provide services in the EU after the end of the transition period following the withdrawal of the UK from the EU

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