All regulation news

Morgan Stanley settles over custody rule violation

16 January 2017 Washington DC
Reporter: Stephanie Palmer

Morgan Stanley has agreed to pay $13 million to settle charges from the SEC that it overbilled investment advisory clients and violated the custody rule relating to annual surprise examinations...

KDPW gains LEI issuer accreditation

10 January 2017 Warsaw
Reporter: Stephanie Palmer

KDPW, the Polish central securities depository, has been granted accreditation to issue legal entity identifier codes by the Global Legal Entity Identifier Foundation...

AIC recommends abolishing AIFMD post-Brexit

09 January 2017 London
Reporter: Stephanie Palmer

The Association of Investment Companies (AIC) has recommended that the UK government scraps the Alternative Investment Fund Managers Directive following its exit from the EU...

Deutsche Bank and Credit Suisse pay for RMBS

23 December 2016 New York
Reporter: Mark Dugdale

The US Department of Justice has agreed settlements with Deutsche Bank and Credit Suisse over the sale of residential mortgage-backed securities worth more than $10 billion, and brought civil charges against Barclays...

Credit rating agencies get SEC seal of approval

22 December 2016 Washington DC
Reporter: Stephanie Palmer

US credit rating agencies are improving their systems for regulatory compliance and increasing competition, according to the Securities and Exchange Commission...

SEK selects OneSumX for regulatory reporting

12 December 2016 Stockholm
Reporter: Stephanie Palmer

The Swedish Export Credit Corporation has opted for the Wolters Kluwer OneSumX solution for compliance with IFRS9 implementation and reporting requirements...

Sapient’s CMRS caters to new Israeli requirements

01 December 2016 Boston
Reporter: Stephanie Palmer

Sapient Global Markets is extending its CMRS regulatory reporting platform to help banks comply with new Bank of Israel transaction reporting requirements...

SFC proposes new rules for asset managers

25 November 2016 Hong Kong
Reporter: Stephanie Palmer

The Hong Kong Securities and Futures Commission has issued a consultation paper proposing changes to extend regulation of the asset management industry...

FSB updates G-SIB list

21 November 2016 Basel
Reporter: Drew Nicol

The Financial Stability Board has revised its ranking list of globally systemically important banks using year-end 2015 data...

SEC’s Fleming defends Dodd-Frank Act

17 November 2016 Maryland
Reporter: Drew Nicol

The US Securities and Exchange Commission’s Rick Fleming has come out in defence of the embattled Dodd-Frank Act following President-Elect Donald Trump’s repeated threats to repeal and replace it...

ESMA delays Category 3 EMIR phase in deadline

16 November 2016 Paris
Reporter: Drew Nicol

The European Securities Markets Authority has offered respite to ‘Category 3’ firms struggling to comply with European Market Infrastructure Regulation implementation burdens...

Source code proposal not up to scratch

16 November 2016 Washington DC
Reporter: Barney Dixon

A regulatory proposal from the US Commodity Futures Trading Commission (CFTC) has drawn concerns from the Futures Industry Association (FIA) over the potential side effects for source code protection...

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