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Deadline looms for no-action period on 15c3-3 fully-paid lending programmes

19 April 2021 US
Reporter: Drew Nicol

In October 2020, SEC staff raised concerns that several broker-dealers were not fulfilling their obligations under Rule 15c3-3 by retaining control over the collateral used to secure borrowings of fully paid and excess margin securities

ESMA鈥檚 first SFTR data quality report makes light reading

16 April 2021 France
Reporter: Alex Pugh

Despite a year of SFTR reporting, the European regulator鈥檚 data quality report is sparse on detail but ESMA says it鈥檚 on the case and will build out its findings next year

Continue to look the other way over LEIs, ESMA tells supervisory authorities

13 March 2021 France
Reporter: Alex Pugh

The European regulator says national supervisory authorities should turn a blind eye to empty LEI fields until October next year on the same day the original 12-month grace period expires

Clearstream gains CSDR licence for ICSD

13 April 2021 Germany
Reporter: Alex Pugh

The post-trade service provider has been granted a CSDR licence for three of four CSD entities

ESMA publishes final report on TR transparency consultation

09 April 2021 France
Reporter: Drew Nicol

The report and complementary guidance notes for TRs formalises previously communicated updates to the requirements for the scope, frequency and format the information to be shared with stakeholders and regulators under SFTR and EMIR

Yellen revives hedge fund oversight committee

07 April 2021 US
Reporter: Alex Pugh

The new treasury secretary鈥檚 decision to look at the way hedge funds act as stressors on the markets may be a sign of incoming increased scrutiny under the Biden administration

UK regulator extends LEI reporting deadline

06 April 2021 UK
Reporter: Alex Pugh

ISLA says it hopes that a similar reprieve will come from the European regulator before the 12-month grace period lapses next week

Two new cum-ex investigations confirmed by UK regulator

06 April 2021 UK
Reporter: Drew Nicol

Despite the FCA鈥檚 tough talk, FOIs by SFT and Rahman Ravelli show the agency has not opened new investigations into any organisations for more than a year, and only two into individuals since 2019

EACH responds to the EC Inception Impact Assessment on CSDR Review

01 April 2021 Belgium
Reporter: Maddie Saghir

The association is pushing for the EC to review the current CSDR SDR in line with stakeholder comments to ensure that SDR is also implemented as one legislation

SRD II still in early stages of 鈥榝ull and seamless adoption鈥�, says Broadridge

01 April 2021 UK
Reporter: Maddie Saghir

Over the next 12 months, Broadridge hopes many of the current operational challenges will be resolved but expects an ongoing high focus in this area, especially for global intermediaries

FCA to launch SPAC consultation

31 March 2021 UK
Reporter: Alex Pugh

Increased scrutiny and potential regulations of UK SPACs may choke off a valuable revenue stream for securities lending participants

Saudi Arabia finalises new SBL and short selling rules

29 March 2021 Saudi Arabia
Reporter: Drew Nicol

The Tadawul and Edaa have signed-off the country鈥檚 new securities lending and short selling rules framework following the public consultation last year, with several restrictions on on-lending and market participation scrapped

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