利卯郭肱

Leading the Way

Global 利卯郭肱 Finance News and Commentary

News by section

Latest news

Industry

Technology

People moves

Regulation

Buy side

Repo

Derivatives

ESG

All regulation news

FSCA licences Strate as trade repository

29 November 2024 South Africa
Reporter: Daniel Tison

South Africa��s central securities depository and central collateral platform can now collect and maintain records of trades

SEC charges FiveT Capital with violation of trading rule

28 November 2024 US
Reporter: Daniel Tison

Switzerland-based investment adviser violated Rule 105 by buying stock for clients after selling short the same stock during a restricted period

FINRA proposes admin and subscription fees for SLATE

27 November 2024 US
Reporter: Daniel Tison

If approved, the proposed Rule 7720 will introduce fees for reporting securities loans, alongside tailored subscription fees

US court vacates SEC Dealer Rule

22 November 2024 US
Reporter: Daniel Tison

On the grounds that it exceeds the regulator��s statutory authority, a district court in Texas decided to vacate the final rule entirely

ESMA finalises technical advice on CSDR penalty mechanism

20 November 2024 EU
Reporter: Daniel Tison

The advice aims to incentivise all actors in the chain to improve settlement efficiency, following the recent proposal on the EU move to T+1

ESMA proposes ��coordinated�� EU move to T+1 by October 2027

18 November 2024 EU
Reporter: Daniel Tison

In its final report, the EU��s financial markets regulator and supervisor highlights the long-term benefits for European markets prompted by a shorter settlement cycle

DORA: ESAs publish decision on reporting rules for critical ICT providers

18 November 2024 EU
Reporter: Daniel Tison

Competent authorities must report the registers of information on financial entities' contractual arrangements with ICT third-party service providers by 30 April 2025

FINRA proposes amendments to Rule 6500 Series

18 November 2024 US
Reporter: Carmella Haswell

The authority believes it is appropriate to delete aspects of the original proposal to facilitate the achievement of the initial SLATE reporting requirements in a timely manner

SF Symposium: Automation is key, but T+1 challenges remain

12 November 2024 UK
Reporter: Jack McRae

The panellists shared their own experiences from North America��s own shift in May 2024 �� largely accepted as a general success

Korea approves new short position balance rules

06 November 2024 South Korea
Reporter: Carmella Haswell

The revision is part of the comprehensive short sale reform measures announced on 13 June 2024, and will take effect from 1 December

SEC postpones FINRA��s Rule 6500 SLATE again

29 October 2024 US
Reporter: Carmella Haswell

After previously extending the time period to reach its decision, the SEC has now filed a notice of designation of longer period for commission action on proceedings to determine whether to adopt the FINRA Rule 6500 Series

SEC adopts new rule for covered clearing agencies

28 October 2024 US
Reporter: Carmella Haswell

The US 利卯郭肱 and Exchange Commission has also adopted new amendments regarding a covered clearing agency��s collection of intraday margin

Get in touch

Home

RSS feed

News

Industry

Technology

People moves

Regulation

Buy side

Repo

Derivatives

ESG

Glossary

Magazine