23 December 2013Washington 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 made four recommendations that seek to promote market liquidity and efficiency, price transparency, and investors' execution quality in a fragmented environment...
12 December 2013Washington 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...
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...
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...
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...
The Swiss stock exchange SIX has announced its intention, alongside Scoach Switzerland and Swiss regulator FINMA, to add to regulations concerning short selling...
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...
13 September 2013Brussels 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...
