All regulation news

FINRA slaps Deutsche with $6.5 million fine

23 December 2013 Washington
Reporter: Georgina Lavers

The Financial Industry Regulatory Authority (FINRA) has fined Deutsche Bank Securities $6.5 million due to financial and operational deficiencies in its enhanced lending programme...

IOSCO publishes regulatory issues report

17 December 2013 Madrid
Reporter: Daniel Jackson

IOSCO made four recommendations that seek to promote market liquidity and efficiency, price transparency, and investors' execution quality in a fragmented environment...

SEC approves new FINRA lending rules

12 December 2013 Washington DC
Reporter: Mark Dugdale

New rules in the US on securities loans and borrowings, permissible uses of customers’ securities, and callable securities have received Securities and Exchange Commission approval...

FTT is alive and deadly, warns UK parliament group

12 December 2013 London
Reporter: Mark Dugdale

The European Commission’s approach to the enhanced cooperation behind the Financial Transaction Tax has been “unjustified and misconceived”, according to a UK House of Lords committee...

ISLA warns against haircuts regulation

09 December 2013 London
Reporter: Georgina Lavers

The ICMA ERC and ISLA have both responded to proposed regulation from the FSB, in a joint letter that warned against the excessive curbing of haircut practices...

BSE cuts 2 securities from SLB segment

02 December 2013 Mumbai
Reporter: Georgina Lavers

The Bombay Stock Exchange has disallowed two securities, Dena Bank and Vijaya Bank, from being lent or borrowed...

South Korea lifts its five year short selling ban

14 November 2013 South Korea
Reporter: Georgina Lavers

South Korea has lifted its ban on short selling, which has been in place since October 2008...

Covering stock lending's tracks will be costly for banks

15 October 2013 New York
Reporter: Georgina Lavers

The amount of capital that banking organisations will have to set aside to cover exposures in the stock lending market could increase significantly, said a report on the issue...

Switzerland is self-regulating its shorting

11 October 2013 Geneva
Reporter: Georgina Lavers

The Swiss stock exchange SIX has announced its intention, alongside Scoach Switzerland and Swiss regulator FINMA, to add to regulations concerning short selling...

Not enough in the tank to dampen fire sales

08 October 2013 New York
Reporter: Mark Dugdale

Regulatory mechanisms “fall short” as a comprehensive, market-wide approach to fire sales that can result from securities financing transactions, according to Federal Reserve governor Jeremy Stein...

EU legal council berates FTT as overreaching

13 September 2013 Brussels
Reporter: Georgina Lavers

The Financial Transaction Tax as proposed will be levied not only on risky activities, but also on activities with genuine economic substance, said a document from the EU Council Legal Service...

ISLA offer triparty collateral help

12 September 2013 Paris
Reporter: Georgina Lavers

The International Securities Lending Association (ISLA) have published a guide to using triparty collateral services under the ESMA guidelines for ETFs and other UCITS issues...

Get in touch

Home

Facebook

RSS feed

News

Industry

Technology

People moves

Regulation

Buy side

Repo

Derivatives

ESG

Glossary

Magazine