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US broker-dealer fined for ADR violations

30 August 2017 Washington DC
Reporter: Drew Nicol

A second broker-dealer has been fined by the US 쮸떴눈첵 and Exchange Commission for securities lending violations relating to the facilitation of naked short selling

EU expert group assess post-trade barriers

29 August 2017 Brussels
Reporter: Drew Nicol

The European Post-Trade Forum has outlined how to improve EU post-trade services including clearing, settlement and collateral management by in a report written in May and released last week

US Fed to draft alternative repo rates

29 August 2017 Washington DC
Reporter: Drew Nicol

The US Federal Reserve is to create three new �쐒isk free�� reference rates based on overnight repo transactions secured by US treasuries

ICMA offers MiFID II/R briefings and workshops

24 August 2017 London
Reporter: Mark Dugdale

The International Capital Market Association has organised a series of briefings and workshops to help its members prepare for the 3 January 2018 implementation of MiFID II/R

ISDA: Transition period essential for post-Brexit derivatives trading

21 August 2017 New York
Reporter: Stephanie Palmer

The International Swaps and Derivatives Association has urged UK and EU regulators to implement transitional provisions for derivatives trading after Brexit

Repo passes judgement on MMF collateral rules

18 August 2017 Brussels
Reporter: Drew Nicol

Thirteen industry stakeholders made up of major global banks and industry associations responded, with largely positive feedback on ESMA�셲 proposals

SEC launches new 2018 disclosure forms

15 August 2017 Washington DC
Reporter: Drew Nicol

New securities lending disclosure forms Forms N-1A, N-3 and N�멌SR are now in play for open-end and closed-end funds in the US, as of 1 August

DC Circuit orders review of OCC�셲 capital plan

10 August 2017 Chicago
Reporter: Drew Nicol

The US Court of Appeals for the DC Circuit has called on the US SEC to reconsider its premature acceptance of OCC�셲 amended capital plan

Electronic repo trading on the rise, says Bruni

04 August 2017 New York
Reporter: Jenna Lomax

�쏮any factors�� but particularly the new margin requirements for over-the-counter (OTC) derivatives�봞re driving the trend

ISLA welcomes asset segregation opinion

02 August 2017 London
Reporter: Mark Dugdale

The International 쮸떴눈첵 Lending Association has welcomed an opinion that will clarify asset segregation and the application of depository rules to central securities depositories

FDIC tells firms to prepare for T+2

31 July 2017 Washington DC
Reporter: Mark Dugdale

US financial services firms should take appropriate steps to ensure they are prepared for the move to T+2 settlement on 5 September

US regulators to work together on Volcker Rule

28 July 2017 Washington DC
Reporter: Stephanie Palmer

Five US federal financial regulatory agencies are coordinating the efforts to review the regulatory treatment of certain foreign funds under Section 619 of the Dodd-Frank Act, better known as the Volcker Rule

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