All regulation news

SDR takes dim view of sec lending

24 January 2017 Brussels
Reporter: Drew Nicol

Asset managers must provide annual reports on their securities lending policy under the proposed Shareholder Rights Directive because it “can cause controversy in the area of shareholder engagement”...

US and Hong Kong augment data sharing deal

20 January 2017 Washington DC
Reporter: Drew Nicol

The US Securities and Exchange Commission has renewed its ties with the Hong Kong Securities and Futures Commission to further strengthen oversight of entities operating in both markets...

Australia doubles down (under) on reporting

17 January 2017 Perth
Reporter: Drew Nicol

Australia's financial regulator is considering two new reporting standards for securities lending and repo transactions in order to maintain global regulatory parity...

ITG fined for sec lending violations

16 January 2017 Washington DC
Reporter: Drew Nicol

The US Securities and Exchange Commission has fined broker ITG more than $24.4 million for securities lending violations relating to the facilitation of naked short selling...

FSB issues final sec lending recommendations

13 January 2017 Basel
Reporter: Drew Nicol

The Financial Stability Board has issued new recommendations for securities lending as part of its review of risks threatening asset managers...

Hong Kong trader spared jail for shorting violation

09 January 2017 Hong Kong
Reporter: Drew Nicol

A Hong Kong-based trader has avoided jail after being reprimanded for uncovered short selling violations...

SEC settles first-of-its-kind shorting suit

06 January 2017 Washington DC
Reporter: Drew Nicol

The US Securities and Exchange Commission has settled a first-of-its-kind cease-and-desist proceedings against the senior management of Wilson-Davis & Co, a Utah-based broker-dealer, for short selling violations...

Norway's regulator unable to take new shorting data

03 January 2017 Oslo
Reporter: Drew Nicol

Norwegian short sellers are currently unable to fulfil new short selling disclosure requirements due to the Norwegian Financial Supervisory Authority website experiencing ‘technical problems’...

Singapore to tighten short selling rules

16 December 2016 Singapore
Reporter: Drew Nicol

The Monetary Authority of Singapore as proposed a series short selling reforms to enhance market transparency...

SIFMA calls for regulatory impact assessment

09 December 2016 Washington DC
Reporter: Stephanie Palmer

SIFMA's managing director has urged the US House of Representatives to assess the cumulative impact of regulation on short-term financing, identifying “potential, but not exhaustive, areas of concern”...

Cash collateral opened to central banks

08 December 2016 Frankfurt
Reporter: Drew Nicol

Eurosystem central banks will now be able to accept cash collateral in their public sector purchase programme’s securities lending facilities, without having to reinvest it in a ‘cash-neutral manner’...

ECB to extend APP to December 2017

08 December 2016 Frankfurt
Reporter: Drew Nicol

The European Central Bank will continue with a reduced version of it asset purchase programme until December 2017, after the original March 2017 cut-off...

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