All regulation news

NSD’s control procedures up to scratch

19 October 2015 Moscow
Reporter: Stephanie Palmer

National Settlement Depository has passed its operational audit analysing control over settlement, depository, clearing and repository services, in compliance with the ISAE 3402 type II standard...

US SEC supports T+2 settlement cycle

08 October 2015 Washington DC
Reporter: Mark Dugdale

An industry coalition has welcomed a letter from the head of the Securities and Exchange Commission (SEC) supporting the move to a two-day settlement cycle in the US...

New SGSS service is I-DEAL

01 October 2015 Paris
Reporter: Stephanie Palmer

Societe Generale Securities Services has launched a new dealing desk outsourcing service for asset and investment manager, I-DEAL...

REGIS-TR and Deutsche Börse pair up for MiFID II

29 September 2015 Frankfurt
Reporter: Stephanie Palmer

Deutsche Börse has partnered up with European trade repository REGIS-TR to help clients with MiFID II reporting requirements...

CAB voices support for SWIFT KYC Registry

29 September 2015 New York
Reporter: Stephanie Palmer

The Caribbean Association of Banks (CAB) has endorsed SWIFT’s Know-Your-Client (KYC) Registry, after 45 banks in 16 countries in the region signed up to the service...

DTCC and LSEG partner up for MiFIR

28 September 2015 London
Reporter: Stephanie Palmer

London Stock Exchange Group has partnered up with the Depository Trust & Clearing Corporation to provide a reporting service for the Markets in Financial Instruments Regulation...

Funds unprepared for money market reform

22 September 2015 New York
Reporter: Stephanie Palmer

US fund managers are unprepared and uncertain over the upcoming money market reform, according to a survey by SimCorp...

CSCS to improve market liquidity

21 September 2015 Lagos
Reporter: Drew Nicol

Nigeria’s Central Securities Clearing System is looking to boost market liquidity through its securities lending and borrowing and post-trade allocation process flows to capital market operators...

Banks agree to four-way data agreement

15 September 2015 New York
Reporter: Drew Nicol

Four major banks have agreed to enhanced record-keeping protocols with the New York State Department of Financial Services when using the new Symphony Communications chat and messaging platform...

Guernsey extends market access to EU

14 September 2015 Guernsey
Reporter: Becky Butcher

Guernsey has extended market access to EU alternative investment funds and managers doing business in Guernsey...

South American support for SWIFT’s KYC Register

27 August 2015 São Paulo
Reporter: Stephanie Palmer

Corporate investment bank Itaú BBA has joined SWIFT’s KYC registry and its Sanctions Screening Service...

FCA clarifies accountability rules for overseas banks

14 August 2015 London
Reporter: Stephanie Palmer

The FCA and the Prudential Regulation Authority have announced draft rules for how the new senior management accountability regime will apply to UK branches of overseas banks...

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