News search | Securities 麻豆影视传媒 Times

Generic business image for news articles

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鈥檚 adoption in 2004 Morgan Stanley has 鈥渋mproperly 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鈥�

RMA to create industry playbook for digital asset adoption
30 September 2020 Pennsylvania
Reporter: Drew Nicol

鈥淐onsidering the resulting actions by securities lending market participants, the approach to handling this type of issuance may need to evolve and become more deliberate,鈥� the RMA says in a new whitepaper

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

Atlantic Partners Asia launches securities finance programme
30 September 2020 Hong Kong
Reporter: Drew Nicol

The Hong Kong asset manager for private equity funds has hired JVLD's Julian Smith to build its new securities finance operation as head of equity capital markets

DTCC lays out roadmap for full adoption of US electronic securities
30 September 2020 New York
Reporter: Drew Nicol

DTCC says less than 1 percent of assets it services through its subsidiary are still in physical form, but they still represent $780 billion in value

Swedish regulator launches new short selling reporting tool
29 September 2020 Sweden
Reporter: Natalie Turner

FI says the tool primary offers a more efficient system for maintaining data integrity by making it possible to see into the system of positions that were reported earlier and recall incorrectly reported positions

GLMX unites with Orchestrade for joint repo offering
29 September 2020 New York
Reporter: Natalie Turner

The new partnership aims to will provide greater trading and operational efficiency in global repo markets, by build pipes between the two firms鈥� platforms

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

Clearstream鈥檚 Richard Glen becomes head of collateral management
28 September 2020 London
Reporter: Natalie Turner

Glen was previously Clearstream鈥檚 head of client relations in the UK, Ireland, Nordics and Americas

Pearce swaps FIS for TP ICAP
28 September 2020 New York
Reporter: Natalie Turner

TP ICAP has appointed former FIS senior sales executive Ann-Marie Pearce, as its newest broker

Banque de Luxembourg taps MarketAxess for trading solution
28 September 2020 New York
Reporter: Drew Nicol

Axess IQ launched in November 2019 and has been imbued it with 鈥渇urther enhancements鈥�, including the integration of Auto-X, the automated trading solution, and Composite+, an artificial intelligence-powered pricing engine, into its workflow

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