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NEX enlists Duco for MiFID II reconciliations requirements

08 June 2017 London
Reporter: Drew Nicol

NEX Regulatory Reporting is partnering with Duco, a data normalisation and reconciliation service provider, to aid its clients in compliance with MiFID II

FCA releases results of dividend arbitrage review

07 June 2017 London
Reporter: Mark Dugdale

Some UK-based firms engaged in dividend arbitrage may not be identifying the risk posed by contrived or fraudulent trading for the purpose of making illegitimate withholding tax reclaims

Deutsche Bank fined $41m for lack of anti-money laundering deficiencies

31 May 2017 Washington DC
Reporter: Drew Nicol

Deutsche Bank is facing a $41 million penalty and a consent cease and desist order from the US Federal Reserve for 鈥渟ignificant deficiencies鈥� in its anti-money laundering management

CCMA praises Canadian market participants on T+2 preparations

30 May 2017 Toronto
Reporter: Stephanie Palmer

Keith Evans praised the country鈥檚 financial markets regulators and participants in their efforts to prepare for the move to T+2 on 5 September, designed to 鈥渇urther strengthen鈥� the marketplace

RMA offers amendments to Dodd-Frank rules

26 May 2017 Washington DC
Reporter: Drew Nicol

The Risk Management Association鈥檚 securities lending committee has written to the US Treasury as part of its President Donald Trump-mandated review of regulatory burdens on the financial system

Canadian securities regulator expands T+2 proposals

19 May 2017 Toronto
Reporter: Drew Nicol

The Canadian 糖心vlog Administrators has released its final proposal for the transition of mutual funds and equity and long-term debt to T+2 on 5 September

Shadow banking on the up, says FSB

11 May 2017 London
Reporter: Drew Nicol

Global shadow banking continued to grow in 2015 but the FSB did identify new risks that require fresh regulatory requirements

Hong Kong short sellers fined

08 May 2017 Hong Kong
Reporter: Drew Nicol

Two Hong Kong short sellers have been fined after pleading guilty to illegally shorting stocks

Pension funds given three-year exemption to EMIR central clearing

05 May 2017 Brussels
Reporter: Drew Nicol

Pension funds have been handed a three-year exemption from central clearing of OTC derivatives under EMIR

Malaysia allows corporate bond short selling

04 May 2017 Kuala Lumpur
Reporter: Drew Nicol

Principal dealers were permitted to conduct regulated short selling of corporate bonds from 13 April

ISLA allays MiFID II concern

12 April 2017 London
Reporter: Mark Dugdale

ISLA members had expressed particular concerns over the timing of reporting transactions with EU central banks, and whether they would be expected from the implementation date of MiFID II

ESMA issues final SFTR standards

31 March 2017 Paris
Reporter: Mark Dugdale

ESMA has issued its final report on standards for implementing SFTR, including a revision to collateral reporting

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