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Morgan Stanley to pay $5 Million to SEC for Reg SHO violations

01 October 2020 Washington D.C.
Reporter: Drew Nicol

The US SEC order found that since Regulation SHO��s adoption in 2004 Morgan Stanley has ��improperly relied on the exception to firmwide netting of all of its positions in a particular equity security through its use of the long and short units��

ESMA confirms recognition of three UK CCPs post Brexit

30 September 2020 London
Reporter: Maddie Saghir

LCH, ICE Clear Europe, and LME Clear will be eligible to provide services in the EU after the end of the transition period following the withdrawal of the UK from the EU

ESMA publishes draft rules for third country firms under MiFID II

28 September 2020 Brussels
Reporter: Maddie Saghir

ESMA has published draft regulatory and implementing technical standards for third-country firms under MiFIR and MiFID II regimes

ESMA: Regulators and tax authorities must unite to thwart cum-ex

25 September 2020 Frankfurt
Reporter: Natalie Turner

The EU securities markets watchdog is calling for national regulators to gain new powers to share information and crackdown on cum-ex tax fraud

Deutsche Bank wins dismissal of Warburg��s cum-ex suit

24 September 2020 Frankfurt
Reporter: Drew Nicol

Deutsche Bank has dodged a ��167 million cum-ex tax bill after Frankfurt Regional Court found it was not liable to pay for MM Warburg��s capital gains taxes

Thailand to lift short selling restrictions

22 September 2020 Thailand
Reporter: Natalie Turner

PASLA has welcomed the Stock Exchange of Thailand��s decision to remove the uptick rule on short selling from next month and are encouraging other Asian markets to follow suit

EU short selling reporting threshold to remain lowered

17 September 2020 Paris
Reporter: Drew Nicol

Short sellers in EU markets must continue to report positions of 0.1 percent of issued share capital until mid-December to offset concerns of a second wave of COVID-19

ICMA updates SFTR recommendations

10 September 2020 London
Reporter: Natalie Turner

ICMA ERCC has published the fourth edition of its SFTR recommendations to account for "important lessons learned" since go-live in July

Kaizen Reporting launches shareholding disclosure service

08 September 2020 London
Reporter: Natalie Turner

Kaizen acquires MDM Compliance Systems, a shareholding disclosure management service provider

CSDR: ICMA calls for the removal of the requirement to appoint buy-in agent

07 September 2020 London
Reporter: Maddie Saghir

In a briefing note, ICMA outlined that as part of the broader review of the CSDR mandatory buy-in framework, the requirement to appoint a buy-in agent should be removed

Opinion: Contract automation drive brings cautious optimism

04 September 2020 London
Reporter: Malik's Memo

An era of automated electronic contract formation has begun with the benefits set to extend to securities lending and its GMSLA

SRD II is live, compliance hurdles remain

03 September 2020 Brussels
Reporter: Drew Nicol

Due to a host of issues and on-going challenges, 11 trade associations are requesting a one-year reprieve from possible fines and penalties for non-compliance

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