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SEC settles with Toronto investment adviser Murchinson over short-selling violations

18 August 2021 US
Reporter: Bob Currie

The hedge fund adviser and two of its staff supplied inaccurate order information, causing executing brokers to breach uncovered short sale rules under Regulation SHO

SEC and ECB sign agreement on supervision of security-based swap dealers

17 August 2021 EU
Reporter: Bob Currie

US securities market regulator and European Central Bank sign MoU to facilitate supervision of security-based swap entities and to assist cross-border inspection

REGIS-TR partners with Reg-X

17 August 2021 Luxembourg
Reporter: Jenna Lomax

Reg-X is a provider of reporting and compliance solutions in the regulatory space, which includes regulatory reporting solutions, platforms and consulting services

Digital asset exchange settles with US SEC for $10m

09 August 2021 US
Reporter: Alex Pugh

Trading platform Poloniex neither admitted nor denied the 利卯郭肱 and Exchange Commission��s findings but has nonetheless agreed to a cease-and-desist order and to pay disgorgement

ISLA to consult on ESMA��s updated SFTR reporting rules

04 August 2021 UK
Reporter: Alex Pugh

The updated SFTR Validation Rules and XML Schemas form part of ESMA��s rules and guidance on implementing SFTR provisions, setting out what needs to be reported to TRs

EXCLUSIVE: UnaVista to close its SFTR trade repository

30 July 2021 UK
Reporter: Bob Currie

UnaVista, the regulatory reporting platform owned by London Stock Exchange Group, has announced that it will discontinue its SFTR trade repository service from 31 January 2022

Zodia Custody receives FCA registration

29 July 2021 UK
Reporter: Rebecca Delaney

SC Ventures and Northern Trust��s institutional cryptoasset custody solution, Zodia Custody, is now registered with the Financial Conduct Authority

FCA publishes final rules to reinforce investor protection in SPACs

28 July 2021 UK
Reporter: Carmella Haswell

FCA announces several changes in its Listing Rules for SPACs after its initial consultation on proposals to protect investors from complex investments

Inadequacies of middle-office resulting in settlement failures, survey finds

27 July 2021 London
Reporter: Jenna Lomax

In a recent Torstone Technology survey, 60 per cent of institutions said that settlement failures, attributed to inadequacies of the middle-office, are still a significant problem for their business

EBA launches consultation on technical standards for identifying shadow banking entities

26 July 2021 France
Reporter: Carmella Haswell

The European Banking Authority has launched a public consultation on draft regulatory technical standards detailing criteria for identifying shadow banking entities for the purpose of reporting large exposures

Basel Committee launches consultation on G-SIB assessment

21 July 2021 Switzerland
Reporter: Bob Currie

BCBS has issued a proposal regarding changes to the assessment and review methodology for globally systemically-important banks

Majority of firms moving to consolidate regulatory reporting requirements under single platform

21 July 2021 UK
Reporter: Alex Pugh

Pirum and IHS Markit��s survey examines whether industry expectations around SFTR implementation were met and how SFTR offers a blueprint for future regulations

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