All regulation news

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

BoE aims for 1 January 2025 to deliver remaining Basel III elements

21 March 2022
Reporter: AST

UK central bank will release a consultation paper in Q4 2022 defining its approach for delivery of Basel 3.1, a package of measures that it says will bring significant changes to how firms calculate risk-weighted assets

European Commission publishes proposal for CSDR review

17 March 2022 EU
Reporter: Carmella Haswell

The review aims to facilitate CSDs’ ability to offer cross-border services and improve their cross-border supervision

Russia’s central bank restricts short selling

25 February 2022 Russia
Reporter: Bob Currie

The Bank of Russia has imposed a ban on short selling that came into effect on Thursday 24 February and will remain until further notice

SEBA Bank granted licence from Abu Dhabi regulator

22 February 2022 UAE
Reporter: Jenna Lomax

Swiss-based SEBA Bank has secured a Financial Services Permission from Abu Dhabi Global Market's Financial Services Regulatory Authority

Allied Irish Banks picks Adenza for regulatory services

21 February 2022 Ireland
Reporter: Jenna Lomax

Adenza, the company formed by the merger of Calypso Technology and AxiomSL, has been selected by Allied Irish Banks to support the bank’s credit risk, securitisation, leverage ratio and large exposure risk reporting throughout Europe and the UK

Adit Global Growth ILP selects Ballybunion and INDOS Financial for AIFM and depositary services

15 February 2022 Ireland
Reporter: Jenna Lomax

Ballybunion and INDOS became part of the JTC Group in 2021 as part of a strategy to develop and further enhance JTC’s funds and corporate services in Ireland

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