All regulation news

EACH updates CSDR SDR framework

15 July 2020 Brussels
Reporter: Maddie Saghir

The European Association of CCP Clearing Houses has updated its CSDR literature to reflect the decisions to implement Article 19, which governs the collection of calculations and collection of cash penalties under the SDR, despite reservations about

EU-wide CCP stress test finds “significant” concentration risk

13 July 2020 Paris
Reporter: Drew Nicol

For the first time, ESMA included a concentration risk component to its EU-wide CCP stress tests and found risk is clustered in one or two of the 16 clearinghouses

Pencils down, please – SFTR is live

13 July 2020 Paris
Reporter: Drew Nicol

Phase one and two of SFTR ushers in a comprehensive new SFT reporting framework for investment firms, credit institutions, CCPs and CSDs

ESMA clarifies failed trades reporting rules under SFTR … sort of

10 July 2020 London
Reporter: Drew Nicol

ICMA has published the third edition of its SFTR reporting recommendations that addresses previously misunderstood requirements for reporting trades that fail to settle

EC mulls adoption of a time-limited equivalence decision for UK CCPs

10 July 2020 Brussels
Reporter: Maddie Saghir

The European Commission has confirmed it is once again considering the adoption of a “time-limited equivalence decision” for UK-EU CCPs of derivatives

SFTR: EU LEI coverage still incomplete

10 July 2020 Dublin
Reporter: Natalie Turner

Up to 10 percent of EU market participants in scope for SFTR do not have their LEIs in place with only days to go before go-live

TriOptima and DTCC expand partnership to SFTR reporting

08 July 2020 London
Reporter: Drew Nicol

The partnership allows market participants to compare and align records via DTCC’s Global Trade Repository service with their reported data fields in TriOptima's triResolve platform

CSDR and EMIR clash on derivatives, warn trade bodies

07 July 2020 London
Reporter: Drew Nicol

Derivatives should be exempt from CSDR as settlement failure events are already covered by EMIR and other existing rules frameworks, says FIA and ISDA

ISLA produces CSDR FAQs

06 July 2020 London
Reporter: Drew Nicol

The documents focus on how CSDR’s incoming mandatory buy-ins and cash penalty rules apply to securities lending transactions entered into under a GMSLA

DTCC expands custodian community ahead of CSDR go live

01 July 2020 London
Reporter: Rebecca Delaney

The global custodian community of the DTCC has grown to 11 in preparation for the Central Securities Depositories Regulation's go-live in February

Sweden to launch digital reporting tool for short sellers

01 July 2020 Stockholm
Reporter: Drew Nicol

Currently, short sellers are using a paper-based reporting system or email to report net short positions to the Swedish Financial Conduct Authority

US SEC fines BNP Paribas Securities Corp for Regulation SHO violations

30 June 2020 New York
Reporter: Drew Nicol

The New York-based broker-dealer has been fined for lending shares to an unreliable hedge fund client to settle long sale orders in 2016

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