All regulation news

Bats and co take capital plan objection to court

22 February 2016 Washington DC
Reporter: Mark Dugdale

Opponents of Options Clearing Corporation’s recently approved capital plan have taken their case to court in a bid to have the Securities and Exchange Commission’s decision overturned...

SEC offers new liquidation rule for broker-dealers

18 February 2016 Washington DC
Reporter: Drew Nicol

The US Securities and Exchange Commission has proposed a new rule to make the liquidation process for large broker-dealers more orderly and efficient...

Hong Kong Exchange updates short selling list

17 February 2016 Hong Kong
Reporter: Drew Nicol

The Stock Exchange of Hong Kong has added 32 additional securities to its short selling list and removed 12 existing designated securities, effective 19 February...

SEC greenlights OCC capital plan

16 February 2016 Chicago
Reporter: Drew Nicol

The US Securities and Exchange Commission has finally approved the OCC’s capital plan, following an independent review...

CFTC opens door to US for South Korean futures

15 February 2016 Washington DC
Reporter: Drew Nicol

The Commodity Futures Trading Commission has allowed certain Korean Exchange (KRX) members to trade futures directly with in the US market...

US and EU tackle CCP continuity

11 February 2016 Washington DC
Reporter: Drew Nicol

European and US central counterparties will soon be able to operate in both markets with full regulatory compliance after a common approach was agreed...

T2S delay confirmed for Clearstream CSDs

09 February 2016 Frankfurt
Reporter: Stephanie Palmer

Clearstream has confirmed that its German and Luxembourgish CSDs will migrate to the T2S platform with wave four in February 2017, rather than in wave three, as originally planned...

ESMA gives buy-in exemption to certain SFTs

02 February 2016 Brussels
Reporter: Mark Dugdale

Securities financing participants have successfully obtained an exemption from the mandatory buy-in regime of the Central Securities Depository Regulation for certain transactions...

Taiwan Stock Exchange allows unlimited day trading

02 February 2016 Taipei
Reporter: Mark Dugdale

The Taiwan Stock Exchange is now allowing unlimited day trading for all securities eligible for margin trading and short selling, covering almost all of the stocks, exchange-trade funds and warrants listed on its market...

Basel III forces hedge funds to reform PB partnerships

21 January 2016 London
Reporter: Drew Nicol

The majority of hedge fund managers have revised their relationships with prime brokers in order to better tackle new regulatory challenges, according to an Alternative Investment Management Association and S3 Partners joint survey...

SEC’s proposed liquidity rules are not good enough

15 January 2016 Washington DC
Reporter: Drew Nicol

The Securities and Exchange Commission’s proposed liquidity management rules for mutual funds and exchange-traded funds risk impeding understanding of fund liquidity and undermining effective liquidity management practices, according to the Securit

HCMC rejects ESMA’s rejection

12 January 2016 Athens
Reporter: Drew Nicol

Greece’s Hellenic Capital Market Commission has disregarded the European Securities and Markets Authority’s disapproval of its renewal of the short selling ban...

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