All regulation news

ALFI: You’ve got to take the ‘long term view’ with SFDR

21 September 2021 Luxembourg
Reporter: Maddie Saghir

“You have to take ESG risk into account when managing money on behalf of clients. We do have Article 8 and Article 9 funds and we may progress that over the future but you’ve got to take the long term view with SFDR,"says HSBC's Dan Rudd

Qomply joins forces with Euronext

21 September 2021 UK
Reporter: Jenna Lomax

According to Qomply and Euronext, by linking services, the companies will be able to provide their clients with a solution that reduces cost and eradicates the complications that often come with the integration of separate solutions

SEC pays out more than US$1 billion to whistleblowers over past decade

16 September 2021 US
Reporter: Bob Currie

The assistance that whistleblowers provide is crucial to the SEC’s ability to enforce the rules of the road for our capital markets, says Commission chair Gary Gensler

DTCC partners with Fund Recs

14 September 2021 UK
Reporter: Maddie Saghir

Fund Recs’ Velocity service will connect to DTCC’s Global Trade Repository to retrieve and analyse trade data for accuracy and completion, simplifying and streamlining the reconciliation process

Banca del Ceresio adopts deltaconX platform

06 September 2021 Switzerland
Reporter: Jenna Lomax

Swiss based Banca del Ceresio has chosen deltaconX’s regulatory platform to fulfil its reporting obligations under FinfraG

Clearstream expands KYD offering on its Fund Centre platform

24 August 2021 Luxembourg
Reporter: Jenna Lomax

Post-trade services provider Clearstream is expanding the know-your-distributor offering of its Fund Centre platform in an effort to help asset managers meet their regulatory requirements

REGIS-TR partners with Reg-X

17 August 2021 Luxembourg
Reporter: Jenna Lomax

Reg-X is a provider of reporting and compliance solutions in the regulatory space, which includes regulatory reporting solutions, platforms and consulting services

ESMA: European Commission “needs to clarify certain aspects of CSDR”

09 August 2021 France
Reporter: Jenna Lomax

ESMA has spoken to National Competent Authorities and other relevant market players about their plans to use DLT for securities services in the coming future

EXCLUSIVE: UnaVista to close its SFTR trade repository

30 July 2021 United Kingdom
Reporter: Bob Currie

UnaVista, the regulatory reporting platform owned by London Stock Exchange Group, has announced that it will discontinue its SFTR trade repository service from 31 January 2022

Varo Bank signs up to Wolters Kluwer’s OneSumX regulatory solutions

29 July 2021 US
Reporter: Jenna Lomax

Varo Bank has chosen Wolters Kluwer’s OneSumX and regulatory update service (RUS) to file its regulatory reports

ESMA publishes MIFID II/MIFIR annual review report

28 July 2021 France
Reporter: Jenna Lomax

The European Securities and Markets Authority (ESMA) has advised the European Commission to move to stage three of the phase-in for the transparency requirements for RTS 2 under MiFID II/MiFIR suitability requirements

EBA launches consultation on technical standards for identifying shadow banking entities

26 July 2021 France
Reporter: Carmella Haswell

The European Banking Authority has launched a public consultation on draft regulatory technical standards detailing criteria for identifying shadow banking entities for the purpose of reporting large exposures

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