06 September 2021Switzerland Reporter: Jenna Lomax
Swiss based Banca del Ceresio has chosen deltaconX’s regulatory platform to fulfil its reporting obligations under FinfraG — a transaction reporting obligation put into effect by the Swiss Financial Market Infrastructure Act
Restrictions will continue on intra-day short sales, with changes proposed to the stock exchange trading system and application of an ‘at-tick’ rule
Scott O’Malia, ISDA’s chief executive, has asked industry participants to use the final implementation phases of initial margin (IM) rules for non-cleared derivatives as an opportunity to sharpen their collateral management practices
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
US securities market regulator and European Central Bank sign MoU to facilitate supervision of security-based swap entities and to assist cross-border inspection
Reg-X is a provider of reporting and compliance solutions in the regulatory space, which includes regulatory reporting solutions, platforms and consulting services
Trading platform Poloniex neither admitted nor denied the Securities and Exchange Commission’s findings but has nonetheless agreed to a cease-and-desist order and to pay disgorgement
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
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