All regulation news

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’ securities to ensure customer protection

FCA issues first fine for MiFIR reporting failures

29 January 2025 UK
Reporter: Carmella Haswell

Infinox Capital has been fined £99,200 for failing to submit transaction reports, risking market abuse going undetected

UK Accelerated Settlement Taskforce proposes T+1 transition date

27 January 2025 UK
Reporter: Daniel Tison

The UK, the EU, and Swiss taskforces are now aiming for the same implementation date for the migration to a faster securities settlement cycle

ICI requests no-action relief on SEC’s short sell reporting rules

23 January 2024 US
Reporter: Carmella Haswell

According to the Investment Company Institute, the need for this no-action relief is urgent due to the impending 14 February 2025 deadline to file the first Form SHO reports

Swiss Securities Post-Trade Council sets T+1 move for October 2027

23 January 2025 Swizerland
Reporter: Carmella Haswell

Synchronising the T+1 transition date for the UK, Europe, Switzerland, and Liechtenstein is in the interests of concerned markets and users, the council says

Authorities welcome new governance structure for T+1 transition in EU

23 January 2025 Europe
Reporter: Carmella Haswell

ESMA has recommended 11 October 2027 as the optimal date for the phased transition to T+1 in the EU

DORA: ESAs consider further centralisation in reporting major ICT incidents

20 January 2025 UK, Europe
Reporter: Daniel Tison

The Digital Operational Resilience Act requires the European Supervisory Authorities to assess the feasibility of incident reporting through a single EU hub

PRA delays Basel 3.1 implementation by one year

17 January 2025 UK
Reporter: Daniel Tison

The Prudential Regulation Authority now expects to implement the standards on 1 January 2027, but it will continue to monitor developments in the US market

Regulatory bodies publish final reports on margin in cleared markets

16 January 2025 Global
Reporter: Daniel Tison

The three reports are part of a holistic work programme bringing together global standard-setting bodies based in Spain, Switzerland, and the UK

UK government introduces new short selling regulations

15 January 2025 UK
Reporter: Daniel Tison

The Financial Conduct Authority gains rulemaking powers related to short selling activities and the power to intervene in exceptional circumstances

US hits record high for financial service penalties

15 January 2025 US
Reporter: Jack McRae

As per SteelEye, their UK counterparts, the FCA, also saw a rise in enforcement actions in 2024

FINRA Rule 6500 Series gets approved following amendments

06 January 2025 US
Reporter: Carmella Haswell

On 2 January, the US Securities and Exchange Commission released an order approving the proposed rule change, as modified by Partial Amendment No.1

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