All regulation news

ISLA responds to EC consultation on CSDR

02 June 2022 EU
Reporter: Bob Currie

The International Securities Lending Association has responded to the European Commission consultation regarding proposed amendments to settlement discipline provisions of the Central Securities Depositories Regulation

SEC charges US-broker TradeZero with misleading customers over meme stock trading

25 May 2022 US
Reporter: Bob Currie

The US securities market regulator alleges that TradeZero and its co-founder Daniel Pipitone misled customers by stating that they did not restrict customer purchases of meme stocks

Jersey Finance welcomes Limited Partnership amendments

11 May 2022 Jersey
Reporter: Jenna Lomax

Jersey Finance has welcomed a further series of amendments to Jersey’s Limited Partnership Law which aims to provide fund managers with greater flexibility in their international fund structuring

Transaction reporting still not a priority for firms despite recent ESMA fine, finds ACA Group

03 May 2022 UK
Reporter: Jenna Lomax

Compliance advisor, ACA Group has found that transaction reporting is still not a priority for firms, despite the European Securities and Markets Authority’s fine given to REGIS-TR last year

European Commission launches consultation to improve WHT refund procedures for cross-border investors

14 April 2022
Reporter: Bob Currie

The consultation, which extends until 24 June, aims to strengthen controls to prevent cum-ex fraud and to digitalise procedures for WHT reclamation

Zeidler Group launches new factsheet solution to its reporting services division

07 April 2022 UK
Reporter: Jenna Lomax

Zeidler Group has added a new fact sheet solution to its reporting services division in an effort to simplify the regulatory reporting process for its clients

PRA chief executive issues “Dear CEO” letter highlighting cryptoasset risks

01 April 2022 UK
Reporter: Bob Currie

Sam Woods, chief executive of the UK Prudential Regulation Authority (PRA), has written to CEOs of banks and investment firms to remind them of their obligations under PRA rules regarding exposures to cryptoassets

REGIS-TR UK receive EMIR license from FCA

23 March 2022 UK
Reporter: Jenna Lomax

REGIS-TR UK Limited has received its full UK European Market Infrastructure Regulation license from the Financial Conduct Authority

SmartStream Technologies launches regulatory solution for MiFID II compliance

22 March 2022 US
Reporter: Jenna Lomax

The solution, Trading Venue Quantitative Reporting Outlier Reconciliation, is designed to alleviate the burden for a trading venue when submitting a single daily file of instrument quantitative data to SmartStream Air

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