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FCA fines Mako for cum-ex violations

20 February 2025 UK
Reporter: Daniel Tison

Mako was fined more than 拢1.6 million for failing to ensure it had effective systems and controls to guard against financial crime

FINRA reveals technical specifications for SLATE reporting

14 February 2025 US
Reporter: Carmella Haswell

If approved by the SEC, firms will be required to report covered securities loan information to SLATE pursuant to FINRA鈥檚 rules beginning 2 January 2026

DORA: EBA upgrades ICT and security risk management measures

11 February 2025 EU
Reporter: Daniel Tison

In line with the Digital Operational Resilience Act, these amendments aim to simplify the ICT risk management framework and provide legal clarity to the market

SEC allows temporary exemption for short selling reporting rules

10 February 2025 US
Reporter: Carmella Haswell

Previously, the compliance date for Rule 13f-2 and Form SHO was 2 January 2025, with the initial Form SHO filings originally due by 14 February 2025

IMN: The market has eyes on Asia and Europe for T+1

07 February 2025 US
Reporter: Carmella Haswell

Panellists at The Beneficial Owners' International Securities 麻豆影视传媒 & Collateral Management Conference reviewed Europe and Asia鈥檚 move to a shorter settlement cycle

UK T+1 Accelerated Settlement Taskforce confirms implementation plan

06 February 2025 UK
Reporter: Carmella Haswell

Included in the plan is a code of conduct for market participants which confirms 11 October 2027 as the first trading date in the UK cash equities for settlement on T+1

FINRA fines Apex Clearing for securities lending programme violations

06 February 2025 US
Reporter: Daniel Tison

This is the first time the Financial Industry Regulatory Authority has charged a firm with violating its Rule 4330, which establishes the permissible use of customers鈥� securities to ensure customer protection