All regulation news

Thailand proposes changes to securities trading regulations

08 October 2024 Thailand
Reporter: Daniel Tison

The proposed draft amendments aim to enhance the oversight of securities trading services, maintain fair practices, and clarify service provision of securities companies

ESMA consults on regulatory technical standards revision

03 October 2024 EU
Reporter: Daniel Tison

The proposed changes aim to reduce reporting burdens by aligning fields across financial regulations

UK EMIR reporting regime comes into force

30 September 2024 UK
Reporter: Daniel Tison

All newly entered or modified derivative trades at both trade and position levels need to comply with the new requirements

South Korea proposes changes to short selling regulations

27 September 2024 South Korea
Reporter: Daniel Tison

The revised bill aims to enhance regulations on short selling and is scheduled to lift the ban on short selling by the end of March 2025

ECMS postponed until 2025

26 September 2024 Europe
Reporter: Daniel Tison

The ECB’s Market Infrastructure Board requires additional time to achieve “sufficient readiness for a smooth go-live”

SEC charges New York investment advisor with short selling violations

19 September 2024 US
Reporter: Carmella Haswell

Gates Capital Management will pay disgorgement of US$432,564, prejudgment interest of US$5,445, and a civil penalty of US$57,615

SEC adopts Form N-PORT reporting requirements amendments

02 September 2024 US
Reporter: Daniel Tison

Form amendments will require funds to file reports on Form N-PORT monthly within 30 days after the end of the month to which they relate

EBA updates G-SIIs identification data

27 August 2024 France
Reporter: Daniel Tison

The publication covers 13 indicators used to measure the systemic importance of institutions

ISLA and ICMA publish GMRA Digital Assets Annex

19 August 2024 Switzerland
Reporter: Daniel Tison

The association looks to bring consistency to the legal terms used by market participants when trading certain digital assets under the GMRA 2011 and 2010

ISDA: ‘Not a lot of time’ to prepare for US Treasury reforms

09 August 2024 US
Reporter: Carmella Haswell

CEO Scott O’Malia believes there to be an “enormous laundry list of tasks” to complete when it comes to the SEC’s US Treasury reforms

SEC postpones 10c-1a SLATE approval

07 August 2024 US
Reporter: Carmella Haswell

Consistent with Exchange Act Rule 10c-1a, FINRA proposed to adopt the FINRA Rule 6500 Series Securities Lending and Transparency Engine (SLATE)

ESAs publish final report on DORA draft technical standards

26 July 2024 Europe
Reporter: Daniel Tison

The report specifies the elements which a financial entity needs to determine and assess when subcontracting ICT services supporting “critical or important” functions

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