The European Commission (EC) has offered securities finance market participants a glimmer of hope that some of their biggest regulatory bug-bears may soon be addressed as part of its action plan for developing the Capital Markets Union
The Financial Stability Board (FSB) has observed an increase in the use of technology to help institutions meet their regulatory requirements and oversight authorities to bolster their supervisory capabilities, known as regtech and suptech, respectively.
The UK’s Financial Conduct Authority (FCA) has taken its first-ever enforcement action for a breach of the Short Selling Regulation (SSR).
The market regulator has fined Hong Kong-based asset management firm Asia Research and Capital
The United Arab Emirates’ stock exchange has amended its securities lending guidelines to facilitate the launch of a new covered short selling facility aimed at broadening the range of hedging mechanisms, increasing liquidity and trading volumes, and
Recent regulatory developments of interest to financial institutions and markets. Includes reports relating to Brexit, EMIR, MiFID, MiFIR, the BMR, among others. Also check our General regulatory news in the related materials links. Contents Brexit: ESMA to
Morgan Stanley is set to pay $5 million to the US financial regulator for violations of Regulation SHO — the framework governing short selling — related to its prime brokerage swaps business.
The US Securities