All regulation news

UK regulators advise on sanctions and cryptoassets

14 March 2022 UK
Reporter: Bob Currie

BoE, FCA and OFSI indicate that they are working closely with government agencies and law enforcement worldwide to share intelligence and to prevent evasion of sanctions, including breaches using cyberassets

FSB publishes research on CCP recovery and resolution

11 March 2022 Global
Reporter: Bob Currie

A new report by the FSB, in collaboration with CPMI and IOSCO, publishes the findings of research on CCP recovery and resolution tools which aims to strengthen the resilience and ‘resolvability’ of CCPs in default and non-default loss scenarios

SEC 10c-1 trade reporting update: comment period extends until 1 April

04 March 2022 US
Reporter: Bob Currie

As an update to an article published in SFT on 28 February, we clarify that the US Securities and Exchange Commission (SEC) has reopened consultation for its securities lending trade reporting proposal until 1 April

SEC targets better visibility into activities of large short sellers

28 February 2022 US
Reporter: Bob Currie

The proposed short sale disclosure requirement under Rule 13f-2 aims to strengthen the regulator’s ability to identify abusive trading practices, including short squeezes, and to reconstruct market events

SEC reopens 10c-1 trade reporting consultation

28 February 2022 US
Reporter: Bob Currie

The US securities markets regulator voted on Friday to extend consultation around its proposed trade reporting for securities lending transactions, giving the industry a further two months to share its feedback

Basel III monitoring reveals improved bank liquidity through H1 2021

21 February 2022 Switzerland
Reporter: Bob Currie

The BCBS Basel III monitoring exercise reveals that bank capital ratios remained stable and liquidity ratios improved in the 6 months to 30 June 2021

ESMA tackles MMF resilience

17 February 2022 EU
Reporter: Bob Currie

Following market consultation, the EU securities market regulator proposes changes to the EU regulatory framework for money market funds as part of lessons learnt from COVID-related market stress

HSBC selects Proxymity’s Shareholder ID solution for SRD II compliance

15 February 2022 United Kingdom
Reporter: Jenna Lomax

HSBC selects Proxymity’s Shareholder ID solution for SDR II compliance

IHS Markit and BNP Paribas expand collaboration for UMR

10 February 2022 Europe
Reporter: Carmella Haswell

BNP Paribas Securities Services has added IHS Markit as an initial margin calculation source to its existing service for clients that are in-scope for UMR in derivatives markets

Euroclear to use Taskize for CSDR Settlement Discipline Regime

09 February 2022 United Kingdom
Reporter: Jenna Lomax

Euroclear has selected a Taskize solution to appeal penalties on both its ICSD and its domestic CSDs, following the implementation of CSDR Settlement Discipline Regime on 1 February 2022

Commission extends UK CCP equivalence

09 February 2022 EU
Reporter: Bob Currie

The European Commission has confirmed that it will extend equivalence for UK central counterparties through to 30 June 2025 and it will step up measures to enhance central clearing capacity in the EU

Proposed Form PF updates will extend reporting obligations for hedge fund advisers

07 February 2022 US
Reporter: Bob Currie

The SEC’s proposed amendments to Form PF reporting will require large hedge fund advisers to disclose extraordinary investment losses, significant margin and default events, and material change in the prime broker relationship for reporting funds

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