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FINRA Rule 6500 Series gets approved following amendments

06 January 2025 US
Reporter: Carmella Haswell

On 2 January, the US Securities and Exchange Commission released an order approving the proposed rule change, as modified by Partial Amendment No.1

ESAs to recruit Heads of Unit for DORA team

20 December 2024 Europe
Reporter: Carmella Haswell

The heads of unit, serving the Joint Oversight team, will be assigned to each ESA

Trade associations call on EU to extend UK CCPs equivalence

13 December 2024 EU
Reporter: Daniel Tison

This follows the recent publication of EMIR 3.0 in the Official Journal of the EU, which comes into force on 24 December

Turkey lifts ban on short selling

09 December 2024 Turkey
Reporter: Carmella Haswell

The recent decision will affect shares included in the BIST-50 index

EACH calls for regulatory stability in new manifesto

04 December 2024 Belgium
Reporter: Daniel Tison

The European Association of CCP Clearing Houses highlights three core priorities to strengthen the clearing ecosystem

Kaizen partners with RegGenome to expand content on Single Rulebook

03 December 2024 UK
Reporter: Daniel Tison

By combining an advanced search with AI-powered regulatory data structures, the firms aim to create a new standard of regulatory intelligence and change management

ECB phases out crisis-era measures for Eurosystem collateral framework

02 December 2024 EU
Reporter: Daniel Tison

Certain temporary asset types will no longer qualify as eligible collateral, while new asset types will be added to the general collateral framework

FSCA licences Strate as trade repository

29 November 2024 South Africa
Reporter: Daniel Tison

South Africa鈥檚 central securities depository and central collateral platform can now collect and maintain records of trades

SEC charges FiveT Capital with violation of trading rule

28 November 2024 US
Reporter: Daniel Tison

Switzerland-based investment adviser violated Rule 105 by buying stock for clients after selling short the same stock during a restricted period

FINRA proposes admin and subscription fees for SLATE

27 November 2024 US
Reporter: Daniel Tison

If approved, the proposed Rule 7720 will introduce fees for reporting securities loans, alongside tailored subscription fees

US court vacates SEC Dealer Rule

22 November 2024 US
Reporter: Daniel Tison

On the grounds that it exceeds the regulator鈥檚 statutory authority, a district court in Texas decided to vacate the final rule entirely

ESMA finalises technical advice on CSDR penalty mechanism

20 November 2024 EU
Reporter: Daniel Tison

The advice aims to incentivise all actors in the chain to improve settlement efficiency, following the recent proposal on the EU move to T+1

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