All regulation news

ION Markets launches new solution for compliance

19 July 2022 US
Reporter: Jenna Lomax

ION’s Compliance SaaS solution enables real-time oversight of pre-and post-trading, and offers full coverage of asset types, with an automated compliance checking process and investment transparency

ESMA announces data reporting agencies that it will supervise directly

13 July 2022 EU
Reporter: Bob Currie

Following publication of derogation criteria under the European Commission Delegated Act in March, ESMA has identified nine data reporting service providers that it will directly regulate

ESMA consults on cash penalty procedures under CSDR

12 July 2022 EU
Reporter: AST

The EU securities market regulator has launched a consultation to assess industry reaction to proposed changes to cash penalty procedures under the Central Securities Depositories Regulation

MCO launches Know Your Risk solution

01 July 2022 Ireland
Reporter: Rebecca Delaney

Conduct risk and compliance technology provider MyComplianceOffice has launched Know Your Risk, a government and oversight suite of modular solutions allowing firms to set regulatory priorities

REGIS-TR and Regnology strengthen partnership for transaction reporting

30 June 2022 Luxembourg
Reporter: Jenna Lomax

Regnology’s membership to the programme will facilitate transaction reporting for its customers ahead of the implementation phase of European Market Infrastructure Regulation REFIT

Clearstream selects Proxymity’s Shareholder Disclosure Solution

28 June 2022 Luxembourg
Reporter: Jenna Lomax

The mandate will allow Clearstream clients to validate and automate shareholder ID requests from trusted sources in industry compliant formats, eliminating the need for manual intervention

Citi, J.P. Morgan and AccessFintech collaboration achieves operational efficiencies

27 June 2022 UK
Reporter: Carmella Haswell

A continuous access to enriched and linked real-time data resulted in a 30 per cent reduction in trade fails, according to AccessFintech

TMF Group partners with Governance.com

27 June 2022 UK
Reporter: Jenna Lomax

The mandate will allow TMF Group access to screening and compliance security — supporting evidence and risk-based operational monitoring to meet regulatory requirements

BIS establishes Renminbi Liquidity Arrangement with People’s Bank of China

27 June 2022 APAC
Reporter: Bob Currie

The RMBLA will provide liquidity support through a reserve pooling scheme, whereby participating central banks will contribute a minimum of RMB 15 billion, and will have access to funds from this pool and via a collateralised liquidity window

ESMA postpones CSDR buy-in regime

09 June 2022 EU
Reporter: Carmella Haswell

Market participants have conveyed concerns over “serious difficulties” to implement the mandatory buy-in regime on the scheduled date

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

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