All regulation news

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...

ESMA proposes big changes to EMIR

14 August 2015 Paris
Reporter: Stephanie Palmer

The European Securities and Markets Authority has published new advice on changes to the European Markets and Infrastructure Regime...

SEC introduces security-based swap rules

13 August 2015 Washington DC
Reporter: Stephanie Palmer

The SEC has adopted new registration rules applying to security-based swap dealers and major security-based swap participants, in line with Title VII of the Dodd Frank Act...

32 charged in corporate earnings hack case

12 August 2015 Washington DC
Reporter: Stephanie Palmer

The SEC has charged 32 people with violating anti-fraud laws for their involvement in a scheme to profit from non-public corporate earnings announcements...

ESMA issues advice on CSDR settlement fails

10 August 2015 Paris
Reporter: Stephanie Palmer

The European Securities and Markets Authority has issued its technical advice on appropriate penalties for settlement fails under the central securities depository regulation...

Trader jailed over LIBOR manipulation

04 August 2015 London
Reporter: Stephanie Palmer

The first person to be charged as part of the investigation in to LIBOR manipulation has been found guilty on eight counts of conspiracy to defraud and sentenced to 14 years in prison...

Industry bodies criticise ESMA passport delay

03 August 2015 London
Reporter: Stephanie Palmer

ESMA should be making faster progress in extending its pan-European passport to alternative investment fund managers in non-EU jurisdictions, according to the AIMA...

Two G-SIBs trailing for SLR requirements

31 July 2015 New York
Reporter: Stephanie Palmer

BNY Mellon and State Street are at risk of failing to comply with the Basel III supplementary leverage ratio requirements, and should retain higher levels of capital in order to ensure compliance...

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