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Kaizen partners with RegGenome to expand content on Single Rulebook

03 December 2024 UK
Reporter: Daniel Tison

By combining an advanced search with AI-powered regulatory data structures, the firms aim to create a new standard of regulatory intelligence and change management

ECB phases out crisis-era measures for Eurosystem collateral framework

02 December 2024 EU
Reporter: Daniel Tison

Certain temporary asset types will no longer qualify as eligible collateral, while new asset types will be added to the general collateral framework

FSCA licences Strate as trade repository

29 November 2024 South Africa
Reporter: Daniel Tison

South Africa鈥檚 central securities depository and central collateral platform can now collect and maintain records of trades

SEC charges FiveT Capital with violation of trading rule

28 November 2024 US
Reporter: Daniel Tison

Switzerland-based investment adviser violated Rule 105 by buying stock for clients after selling short the same stock during a restricted period

FINRA proposes admin and subscription fees for SLATE

27 November 2024 US
Reporter: Daniel Tison

If approved, the proposed Rule 7720 will introduce fees for reporting securities loans, alongside tailored subscription fees

US court vacates SEC Dealer Rule

22 November 2024 US
Reporter: Daniel Tison

On the grounds that it exceeds the regulator鈥檚 statutory authority, a district court in Texas decided to vacate the final rule entirely

ESMA finalises technical advice on CSDR penalty mechanism

20 November 2024 EU
Reporter: Daniel Tison

The advice aims to incentivise all actors in the chain to improve settlement efficiency, following the recent proposal on the EU move to T+1

ESMA proposes 鈥榗oordinated鈥� EU move to T+1 by October 2027

18 November 2024 EU
Reporter: Daniel Tison

In its final report, the EU鈥檚 financial markets regulator and supervisor highlights the long-term benefits for European markets prompted by a shorter settlement cycle

DORA: ESAs publish decision on reporting rules for critical ICT providers

18 November 2024 EU
Reporter: Daniel Tison

Competent authorities must report the registers of information on financial entities' contractual arrangements with ICT third-party service providers by 30 April 2025

FINRA proposes amendments to Rule 6500 Series

18 November 2024 US
Reporter: Carmella Haswell

The authority believes it is appropriate to delete aspects of the original proposal to facilitate the achievement of the initial SLATE reporting requirements in a timely manner

SF Symposium: Automation is key, but T+1 challenges remain

12 November 2024 UK
Reporter: Jack McRae

The panellists shared their own experiences from North America鈥檚 own shift in May 2024 鈥� largely accepted as a general success

Korea approves new short position balance rules

06 November 2024 South Korea
Reporter: Carmella Haswell

The revision is part of the comprehensive short sale reform measures announced on 13 June 2024, and will take effect from 1 December

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