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ESMA issues guidance on DLT-based market infrastructure

16 December 2022 EU
Reporter: Bob Currie

These guidelines provide templates for applications to operate any form of DLT market infrastructure under the DLT Pilot Regulation, including a DLT MTF, a DLT settlement system or a DLT trading and settlement system

SEC proposes shake up of best execution rules

15 December 2022 US
Reporter: Bob Currie

The US 쮸떴눈첵 and Exchange Commission has proposed implementation of a best execution regulatory framework that will fall under the Commission�셲 own rule-book, along with steps to tighten up insider-trading rules

Banks must apply a prudent approach when providing funding to LDIs, says BoE

14 December 2022 UK
Reporter: Bob Currie

In its latest Financial Stability Report, the Bank of England finds that the UK banking sector is resilient to a further economic downturn, but it recognises a need to monitor the build up of stress in LDI funds and the NBFI sector

UK government launches consultation on short-selling practices

09 December 2022 UK
Reporter: Bob Currie

Through its review of the Short Selling Regulation, the government aims to gauge whether the UK�셲 approach to regulating the short selling of shares reflects the current circumstances of the post-Brexit UK market

ESMA backs actions of Irish and Luxembourg regulators on LDI fund resilience

01 December 2022 Ireland, Luxembourg
Reporter: Bob Currie

The Central Bank of Ireland and Commission de Surveillance du Secteur Financier yesterday wrote to managers of GBP LDI funds outlining actions to protect fund resilience, including the impact of market shocks on collateral calls and forced sales

SFTS: UMR Phase 6 is not an �쁢ndpoint�� as firms are set to onboard late

24 November 2022 UK
Reporter: Carmella Haswell

Phase 6 of the Uncleared Margin Rules is expected to continue for a �쐋ong period of time�� as approximately 900 firms are in the monitoring phase and are not �쐄ully engaged�� in UMR

�쏯othing moves that quickly�� when it comes to regulation, SFT Technology Symposium panelist says

23 November 2022 United Kingdom
Reporter: Lucy Carter

During the �쁒egulation�� panel, speakers discussed the current state of regulation in the industry, including the relationships between regulators and the market, what clients are looking for and what might lie ahead

Majority of firms are not ready for CFTC Rewrite, says S&P Global Market Intelligence survey

16 November 2022 Global
Reporter: Carmella Haswell

The Global Regulatory Reporting Survey data was collected during August and September 2022 from 89 respondents from banks, asset managers and brokers

Eurosystem sec lending limit raised to ease year-end functioning

11 November 2022 Europe
Reporter: SFT

The European Central Bank has increased the limit for securities lending against cash collateral by Eurosystem central banks from ��150 billion to ��250 billion, following a decision yesterday by the ECB Governing Council

BlackRock expands Voting Choice programme with Proxymity

09 November 2022 US
Reporter: Lucy Carter

BlackRock has announced a partnership with Proxymity to expand its Voting Choice programme, the firm�셲 proxy voting system, offering a pilot scheme for individual investors in select UK mutual funds

BNP Paribas implements Digital Regulatory Reporting for CFTC swap data

02 November 2022 US
Reporter: Carmella Haswell

The DRR initiative aims to create efficiency as firms adapt their reporting systems to comply with changes to CFTC reporting rules, and to improve the accuracy and consistency of what is reported

ESMA withdraws third-country recognition from six Indian CCPs

02 November 2022 EU
Reporter: SFT

European securities market regulator concludes that cumulative conditions for recognising these third-country CCPs under EMIR have not been met since no cooperation agreements have been established with the relevant Indian market authorities

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