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Citigroup admits to 15-year blue sheet violation
13 July 2016 Washington DC
Reporter: Stephanie Palmer

Citigroup Global Markets has admitted wrongdoing and agreed to a $7 million penalty to settle charges that it provided incomplete blue sheet information to the SEC over a 15-year period...
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Clearing industry criticises leverage ratio


12 July 2016 Basel
Reporter: Drew Nicol

The Basel leverage ratio fundamentally threatens the business model of clearing members and will endanger the stability of the global financial markets, according to an industry letter...
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Leverage ratio needs omissions, say associations
08 July 2016 London
Reporter: Drew Nicol

Five financial industry associations have joined forces to express concern about the implications of including central bank cash balances within Basel III’s leverage ratio framework...
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Russia’s corporate actions reform in full swing
05 July 2016 Moscow
Reporter: Stephanie Palmer

The legal framework for Russia’s corporate actions reform has come into force, cementing the National Settlement Depository (NSD), Russia’s CSD, as a single source of information...
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Brexit and MiFID II don't mix, says Deutsche Börse
01 July 2016 Frankfurt
Reporter: Drew Nicol

It will be “very difficult” for UK-based firms to maintain equivalency with the second Markets in Financial Instruments Directive and Regulation (MiFID II/MiFIR) once the UK breaks away from the EU, according to Deutsche Börse...
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Bad press to boost KYC compliance
29 June 2016 Brussels
Reporter: Stephanie Palmer

SWIFT has partnered with Dow Jones to add adverse media information to its know-your-client (KYC) Registry...
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Brexit: Financial services regulation will remain
24 June 2016 London
Reporter: Stephanie Palmer

UK financial institutions must continue to abide by EU regulations in the wake of ‘Brexit’, while regulations such as Solvency II are likely to remain in place...
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Another UK Mandate for AxiomSL
22 June 2016 London
Reporter: Stephanie Palmer

BMCE Bank International has gone live with the AxiomSL regulatory platform for automating regulatory calculations and reporting in the UK...
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Silverfinch sorts out PRIIPs data sharing
20 June 2016 Dublin
Reporter: Stephanie Palmer

Silverfinch is adding a new capability to its data distribution model, facilitating compliance with the requirement for a Key Information Document (KID) under the PRIIPs regulation...
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Apex Fund Services faces $350,000 fraud settlement
17 June 2016 Washington DC
Reporter: Stephanie Palmer

The US Securities and Exchange Commission has charged Apex Fund Services for failing to “heed red flags” and address fraudulent accounting on the part of two of its clients...
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Pershing addresses new conflict of interest regulation
09 June 2016 Orlando
Reporter: Stephanie Palmer

BNY Mellon’s Pershing is addressing the US Department of Labor’s new Conflict of Interest Rule, developing a range of new solutions to help financial services firms with compliance...
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ESMA invites comment on blockchain potential


03 June 2016 Paris
Reporter: Stephanie Palmer

The European Securities and Markets Authority has issued a distribution paper and public consultation on the potential usefulness of distributed ledger technology in securities markets...
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