All regulation news

EXCLUSIVE: Two-thirds of firms will not be fully ready for SFTR go-live, survey shows

17 September 2019 London
Reporter: Drew Nicol

Cappitech CEO Ronen Kertis said that the survey results indicate that some in the industry have not learned the lessons from navigating the builds for previous regulations and have continued to prepare in the eleventh-hour

Saudi Arabia’s CMA publishes draft CCP regulations

13 September 2019 Saudi Arabia
Reporter: Maddie Saghir

The CMA says this will contribute to introducing new securities classes and services to investors and guaranteeing the settlement and fulfillment of obligations of transactions parties

LEI registrations for SFTR must improve, says ISLA

11 September 2019 London
Reporter: Drew Nicol

ISLA noted that some EU jurisdiction showed good levels of asset issuer LEI coverage while others were lagging behind

SmartStream introduces SFTR reference data service

11 September 2019 London
Reporter: Maddie Saghir

SmartStrem’s RDU acquires instrument reference data from a range of industry sources to help provide an accurate comprehensive and easy-to-access means of obtaining information

DTCC opens testing on Delta Capita’s SFTR test pack

09 September 2019 London
Reporter: Drew Nicol

DTCC began trialling the test pack with its own SFTR matching and reporting service on 30 August, ahead of the regulation’s implementation on 11 April 2020

Tradeweb partners with EuroCCP to provide ETF clearing

05 September 2019 London
Reporter: Maddie Saghir

The partnership responses the EU’s CSDR, which brings new settlement discipline procedures, including cash penalties for settlement fails and mandatory buy-ins

OCC settles with US regulators on risk management failures

05 September 2019 Chicago
Reporter: Drew Nicol

OCC was designated as a systemically important financial market utility in 2012, thereby making it subject to enhanced regulation and transparency rules related to risk management

Bloomberg acquires RegTek.Solutions

14 August 2019 New York
Reporter: Maddie Saghir

Bloomberg has acquired RegTek.Solutions to expand its suite of regulatory reporting services

Stock loan antitrust lawsuit dismissed

08 August 2019 New York
Reporter: Maddie Saghir

QS Holdco’s legal action against Bank of America Corporation over antitrust claims has been dismissed following a district court ruling

ISLA responds to ESMA’s SFTR consultation paper

06 August 2019 London
Reporter: Maddie Saghir

ISLA has responded to ESMA’s Guidelines for reporting under articles 4 and 12 of SFTR and has attracted particular attention to the potential restriction on the use of non-EU issuer LEIs

Deutsche Boerse to launch CSDR solution

01 August 2019 Frankfurt
Reporter: Maddie Saghir

Deutsche Boerse Buy-in Agent service will include automated securities lending

Eurex Clearing enhance CCP reports for SFTR reporting

01 August 2019 London
Reporter: Maddie Saghir

Eurex Clearing will introduce the production launch of the central counterparty (CCP) Release 17.0 on 18 November this year

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