28 July 2017Washington DC Reporter: Stephanie Palmer
Five US federal financial regulatory agencies are coordinating the efforts to review the regulatory treatment of certain foreign funds under Section 619 of the Dodd-Frank Act, better known as the Volcker Rule
Securities financing margin liquidity risk assessments should be based on historical margin posted, with a stress uplift applied, according to the Bank of England’s Prudential Regulation Authority
Ahead of the consultation, which will run until 4 September, ESMA published a new whitepaper that addresses the exemption in short selling regulations for market making activities
The UK’s Financial Conduct Authority has revised some of its proposals on implementation of MiFID II, issuing its final rules and guidance on the directive
New rules under MiFID II could restrict liquidity in the market and have a negative effect on securities lending and repo industry, according to Anna Biala, a partner at Clifford Chance
Data sent to regulators as part of the second Markets in Financial Instruments Directive (MiFID II) reporting requirements must be sent and managed securely, said regulatory data exchange Silverfinch
The charges follow ITG’s settlement in January when the broker-dealer agreed to pay more than $24.4 million over allegations of securities lending violations relating to the facilitation of naked short selling
