Scott O’Malia, ISDA’s chief executive, has asked industry participants to use the final implementation phases of initial margin (IM) rules for non-cleared derivatives as an opportunity to sharpen their collateral management practices
The hedge fund adviser and two of its staff supplied inaccurate order information, causing executing brokers to breach uncovered short sale rules under Regulation SHO
US securities market regulator and European Central Bank sign MoU to facilitate supervision of security-based swap entities and to assist cross-border inspection
Reg-X is a provider of reporting and compliance solutions in the regulatory space, which includes regulatory reporting solutions, platforms and consulting services
Trading platform Poloniex neither admitted nor denied the Securities and Exchange Commission’s findings but has nonetheless agreed to a cease-and-desist order and to pay disgorgement
The updated SFTR Validation Rules and XML Schemas form part of ESMA’s rules and guidance on implementing SFTR provisions, setting out what needs to be reported to TRs
UnaVista, the regulatory reporting platform owned by London Stock Exchange Group, has announced that it will discontinue its SFTR trade repository service from 31 January 2022
In a recent Torstone Technology survey, 60 per cent of institutions said that settlement failures, attributed to inadequacies of the middle-office, are still a significant problem for their business