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SEC allows temporary exemption for short selling reporting rules

10 February 2025 US
Reporter: Carmella Haswell

Previously, the compliance date for Rule 13f-2 and Form SHO was 2 January 2025, with the initial Form SHO filings originally due by 14 February 2025

IMN: The market has eyes on Asia and Europe for T+1

07 February 2025 US
Reporter: Carmella Haswell

Panellists at The Beneficial Owners' International 쮸떴눈첵 Finance & Collateral Management Conference reviewed Europe and Asia�셲 move to a shorter settlement cycle

UK T+1 Accelerated Settlement Taskforce confirms implementation plan

06 February 2025 UK
Reporter: Carmella Haswell

Included in the plan is a code of conduct for market participants which confirms 11 October 2027 as the first trading date in the UK cash equities for settlement on T+1

FINRA fines Apex Clearing for securities lending programme violations

06 February 2025 US
Reporter: Daniel Tison

This is the first time the Financial Industry Regulatory Authority has charged a firm with violating its Rule 4330, which establishes the permissible use of customers�� securities to ensure customer protection

FCA issues first fine for MiFIR reporting failures

29 January 2025 UK
Reporter: Carmella Haswell

Infinox Capital has been fined 짙99,200 for failing to submit transaction reports, risking market abuse going undetected

UK Accelerated Settlement Taskforce proposes T+1 transition date

27 January 2025 UK
Reporter: Daniel Tison

The UK, the EU, and Swiss taskforces are now aiming for the same implementation date for the migration to a faster securities settlement cycle

ICI requests no-action relief on SEC�셲 short sell reporting rules

23 January 2024 US
Reporter: Carmella Haswell

According to the Investment Company Institute, the need for this no-action relief is urgent due to the impending 14 February 2025 deadline to file the first Form SHO reports

Swiss 쮸떴눈첵 Post-Trade Council sets T+1 move for October 2027

23 January 2025 Swizerland
Reporter: Carmella Haswell

Synchronising the T+1 transition date for the UK, Europe, Switzerland, and Liechtenstein is in the interests of concerned markets and users, the council says

Authorities welcome new governance structure for T+1 transition in EU

23 January 2025 Europe
Reporter: Carmella Haswell

ESMA has recommended 11 October 2027 as the optimal date for the phased transition to T+1 in the EU

DORA: ESAs consider further centralisation in reporting major ICT incidents

20 January 2025 UK, Europe
Reporter: Daniel Tison

The Digital Operational Resilience Act requires the European Supervisory Authorities to assess the feasibility of incident reporting through a single EU hub

PRA delays Basel 3.1 implementation by one year

17 January 2025 UK
Reporter: Daniel Tison

The Prudential Regulation Authority now expects to implement the standards on 1 January 2027, but it will continue to monitor developments in the US market

Regulatory bodies publish final reports on margin in cleared markets

16 January 2025 Global
Reporter: Daniel Tison

The three reports are part of a holistic work programme bringing together global standard-setting bodies based in Spain, Switzerland, and the UK

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