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ESMA reports mixed feedback on shortening settlement cycle

22 March 2024 Europe
Reporter: Sophie Downes

Participants highlighted the need for a clear signal from the regulatory front at the start of the work and clear coordination between regulators and the industry

Buy-side associations file lawsuit against US SEC to vacate Dealer Rule

19 March 2024 US
Reporter: Carmella Haswell

NAPFM, AIMA AND MFA say by 鈥渇ailing to definitively and accurately define what a dealer is鈥� the Dealer Rule may deter regulated market participants from engaging in investment activity in various asset classes

PASLA: SFTR 2.0 coming to Europe with regulatory updates

07 March 2024 Singapore
Reporter: Carmella Haswell

SFTR 2.0 is likely to be rolled out when there is a new mandate from the European Commission in 2025 and could incorporate a tax element, following tax abuse scandals across Europe

BCBS proposes action on 鈥渨indow dressing鈥� in G-SIB reporting

07 March 2024 Switzerland
Reporter: Bob Currie

Basel Committee considers requiring banks falling into scope of the Global Systemically Important Bank (G-SIB) framework to report G-SIB indicators based on average values over the reporting year, rather than by using year-end values

Buy-side associations file opening brief challenging SEC rules

06 March 2024 US
Reporter: Bob Currie

AIMA, the MFA and NAPFM argue through their legal action that the SEC鈥檚 "defective rulemaking process" produced flawed, inconsistent rules relating to short selling and short position reporting that will harm investors and the markets

Basel III capital ratios 鈥渓argely stable鈥� for largest global banks, BIS finds

06 March 2024 Switzerland
Reporter: SFT

The Bank of International Settlements reports that after-tax profits for largest internationally active banks had grown to a record 鈧�279 billion at end of H1 2023, while LCR coverage has improved to 137 per cent for G-SIBs

FCA highlights AML failings in 鈥淒ear CEO鈥� letter

06 March 2024 UK
Reporter: Bob Currie

The UK financial conduct regulator has written to company heads outlining weaknesses in their controls to prevent financial crime and instructing that they must take necessary steps to address these shortcomings

FSB proposes measures to strengthen Too Big to Fail framework in Switzerland

29 February 2024 Switzerland
Reporter: Bob Currie

Following the Credit-Suisse-UBS merger, these steps include strengthening the G-SIB recovery and resolution framework and reinforcing the supervisory framework, invention powers and resources accorded to FINMA

BoE acquires powers to restrict CCP discretionary payments

19 February 2024 UK
Reporter: Bob Currie

The UK central bank now has further powers to limit CCP discretionary payments to employees and shareholders, with these powers limited to five years鈥� duration and with consideration to be given to their impact on CCP hiring and staff retention

CIRO proposes amendments to fully paid securities lending rules

16 February 2024 Canada
Reporter: Carmella Haswell

The amendments aim to enhance the rule framework regarding retail fully paid securities lending, as well as to address inconsistencies in the existing financing rules

CPMI-IOSCO launch consultation on VM processes in cleared markets

14 February 2024 Switzerland
Reporter: Bob Currie

The consultation report, Streamlining Variation Margin in Centrally Cleared Markets, outlines eight practices for promoting effective VM processes and transparency between CCPs, clearing members and their clients

ESMA clarifies best execution reporting for MiFID II

13 February 2024 Europe
Reporter: Carmella Haswell

Under the reviewed framework, investment firms are no longer required to annually report detailed information on trading venues and execution quality through RTS 28 reports

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