All regulation news

RBC Dexia Investor Services deal gets green light in Europe

15 May 2012 Brussels
Reporter: Mark Dugdale

The Royal Bank of Canada’s (RBC’s) move to take full control of global custody, fund and pension administration services provider RBC Dexia Investor Services has been approved in Europe...

Hong Kong stock exchange tightens short selling rules

14 May 2012 Hong Kong
Reporter: Mark Dugdale

The Stock Exchange of Hong Kong has amended the rules that regulate the short selling of designated securities after it conducted a review earlier this year...

ISLA battles ESMA over UCITS, stating ‘confusing guidance’

04 April 2012 London
Reporter: Georgina Lavers

ISLA submitted a response to ESMA’s consultation paper relating to UCITS, raising three key points...

BlackRock plead more time over ETFs from ESMA

02 April 2012 London
Reporter: Georgina Lavers

BlackRock argued that ESMA’s new guidelines overly focus on securities lending, and is asking the regulatory body to delay their 30 March deadline...

€3.2 million fine for Alico over securities lending

02 April 2012 Dublin
Reporter: Georgina lavers

The Central Bank of Ireland has fined Alico Life International €3.2 million over its securities lending programme...

Repo-to-maturity revamped by FASB, SEC

28 March 2012 Washington
Reporter: Georgina Lavers

An overhaul of the accounting rules that led to the collapse of MF Global could take place this year, said officials at FASB and SEC...

Pakistani stock exchange law approved by parliament

27 March 2012 Islamabad
Reporter: Georgina Lavers

The Stock Exchanges Law has finally been approved in a parliamentary session in Pakistan, after the bill was passed three years ago...

GlobeOp produces new SEC guidance

26 March 2012 London and NY
Reporter: Georgina Lavers

Financial services company GlobeOp has offered insight on the US regulation Form PF ahead of its implementation deadline...

"Broad agreement" on FTT in European Parliament

10 January 2012 Brussels
Reporter: Anna Reitman

A "very broad agreement" in favour of an EU financial transaction tax emerged at the start of the Economic and Monetary Affairs Committee's work on the legislative proposal...

FINRA fines UBS Securities $12m

26 October 2011 Washington
Reporter: Anna Reitman

The Financial Industry Regulatory Authority (FINRA) has announced that it has fined UBS Securities $12 million for violating RegSHO and failing to properly supervise short sales of securities...

Primebroker begins ANZ lawsuit

24 October 2011 Sydney
Reporter: Anna Reitman

Primebroker has begun its lawsuit against ANZ, accusing the bank of misleading and deceptive conduct...

NSE to deliver securities lending rules in December

17 October 2011 Lagos
Reporter: Anna Reitman

Rules on securities lending are expected to be issued in December by management of the Nigerian Stock Exchange (NSE) in a bid to mature the capital market, according to media outlet This Day Live...

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