All regulation news

SEC needs to plug short selling data gap, says commissioner

18 May 2021 US
Reporter: Alex Pugh

Commissioner Caroline Crenshaw has joined a growing chorus of voices who, in the wake of the GameStop saga, are calling for greater transparency and reporting frequencies around short selling

Cardano Risk Management teams-up with deltaconX

17 May 2021 UK
Reporter: Maddie Saghir

Cardano Risk Management is offering its risk management and execution services to more than 50 European and UK based pension funds, through its entities in the Netherlands and the UK

SEC approves first US securities swap repository

11 May 2021 US
Reporter: Alex Pugh

The US regulator — under new chair and market 'cop’ Gary Gensler — is utilising 2011’s Dodd-Frank to boost transparency in equity, credit, and interest rate derivatives asset classes

GameStop hearing III: Analysis

10 May 2021 US
Reporter: Alex Pugh

Regulators promise to think about looking into tightening short selling rules

FCA claims first scalp in cum-ex tax fraud campaign

06 May 2021 UK
Reporter: Drew Nicol

The FCA has fined Sapien for facilitating a dividend arbitrage scheme by Solo Group and its underlying off-shore clients, which were all connected to Sanjay Shah, and illegally collected withholding tax reclaims from the tax authorities of Denmark an

Former head of Hedge Fund Working Group warns change is coming

29 April 2021 US
Reporter: Alex Pugh

Jonah Crane thinks the volatility and market stress of March 2020 means the revived Hedge Fund Working Group will be able to achieve what it could not in the past

Sanjay Shah vs SKAT: A cum-ex legal battle explainer

28 April 2021 UK
Reporter: Drew Nicol

The trial focused on the application of ‘Dicey Rule 3’ which states that English courts have no jurisdiction enforce a penal, revenue or other public law of a foreign state

FSC finalises beefed-up short selling rules

20 April 2021 South Korea
Reporter: Alex Pugh

The revisions are designed to tighten short selling regulations before the lifting of the short selling ban early next month

Pass test to invest, South Korean regulator tells retail short sellers

20 April 2021 South Korea
Reporter: Alex Pugh

FSC finalises rules and safeguards for novice securities lending and short selling market participants ahead of 3 May go-live

Deadline looms for no-action period on 15c3-3 fully-paid lending programmes

19 April 2021 US
Reporter: Drew Nicol

In October 2020, SEC staff raised concerns that several broker-dealers were not fulfilling their obligations under Rule 15c3-3 by retaining control over the collateral used to secure borrowings of fully paid and excess margin securities

ESMA’s first SFTR data quality report makes light reading

16 April 2021 France
Reporter: Alex Pugh

Despite a year of SFTR reporting, the European regulator’s data quality report is sparse on detail but ESMA says it’s on the case and will build out its findings next year

Continue to look the other way over LEIs, ESMA tells supervisory authorities

13 March 2021 France
Reporter: Alex Pugh

The European regulator says national supervisory authorities should turn a blind eye to empty LEI fields until October next year on the same day the original 12-month grace period expires

Get in touch

Home

Facebook

RSS feed

News

Industry

Technology

People moves

Regulation

Buy side

Repo

Derivatives

Magazine