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SEC fines Anson Advisors for short selling violations

20 October 2023 US
Reporter: SFT

The US securities markets regulator found that Toronto-based AAI had violated SEC Rule 105 which prohibits short selling of an equity during a restricted period, typically five business days prior to a covered public offering

SEC adopts Rule 10c-1 relating to reporting of sec lending trades

16 October 2023 US
Reporter: Bob Currie

Almost 18 months after the close of its two-stage public consultation, the US securities regulator has released final rules for implementation of Rule 10c-1 relating to the reporting of securities lending transactions

RMA: US banking regulators �쁣ailing�� to deliver on Basel III Endgame goals

13 October 2023 US
Reporter: Carmella Haswell

US banking regulators are not delivering Basel III Endgame goals of improving risk sensitivity and comparability, panellists heard at the RMA Conference

RMA: US Treasury Clearing proposal to increase costs

13 October 2023 US
Reporter: Carmella Haswell

The anticipated US Treasury Clearing proposal has caused concern for some firms, which indicate that the costs of its implementation will outweigh the benefits

RMA: Tax regulation: a 'labyrinth' creating collaborative opportunities

13 October 2023 US
Reporter: Carmella Haswell

Tax regulation is a �쁫abyrinth�� that is constantly changing, and is an entity that plays a prominent role in securities finance

BCBS releases adoption progress update

03 October 2023 Switzerland
Reporter: Lucy Carter

The update considers outstanding standards that remain after the Basel III framework�셲 1 January 2023 implementation date, outlining progress that has been made by BCBS member jurisdictions since the end-September 2022 update

UK regulators push back final phase of Basel III reforms

27 September 2023 UK
Reporter: Bob Currie

The UK Prudential Regulation Authority (PRA) has pushed back the implementation date for the final phase of Basel III reforms in the UK by six months to 1 July 2025

Basel III capital ratios rise for largest global banks, finds BCBS report

26 September 2023 Switzerland
Reporter: Bob Currie

The most recent Basel III monitoring exercise finds that CET1 ratios for Group 1 banks have grown during H2 2022 to above pre-pandemic levels, rising 0.4 per cent to 13.1 per cent

Riksbank and the Bank of England reaffirm commitment to LCH oversight cooperation

25 September 2023 UK
Reporter: Jamie Richards

The Swedish and UK central banks have released a statement expressing continued commitment to their joint oversight of LCH Ltd.

FSB and IMF publish regulatory recommendations for cryptoasset activities

11 September 2023 Switzerland
Reporter: Jenna Lomax

The FSB and IMF have published a report recommending a policy and regulatory response to cryptoasset activities

SEC narrows securities association membership exemptions for firms trading off exchange

24 August 2023 US
Reporter: Bob Currie

Outlining the need for these amendments, 쮸떴눈첵 and Exchange Commission chair Gary Gensler indicates that some broker-dealers continue to rely on exemptions from national securities association registration that are �쐎lder than the cell phone era

ESMA opens consultation on operating procedures for cryptoasset service providers

21 August 2023 EU
Reporter: Bob Currie

The consultation package provides a framework to guide the activities of service providers under the Regulation on Markets in Cryptoassets (MiCA), which entered into force in the European Union on 29 June 2023

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