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Two new cum-ex investigations confirmed by UK regulator

06 April 2021 UK
Reporter: Drew Nicol

Despite the FCA�셲 tough talk, FOIs by SFT and Rahman Ravelli show the agency has not opened new investigations into any organisations for more than a year, and only two into individuals since 2019

EACH responds to the EC Inception Impact Assessment on CSDR Review

01 April 2021 Belgium
Reporter: Maddie Saghir

The association is pushing for the EC to review the current CSDR SDR in line with stakeholder comments to ensure that SDR is also implemented as one legislation

SRD II still in early stages of �쁣ull and seamless adoption��, says Broadridge

01 April 2021 UK
Reporter: Maddie Saghir

Over the next 12 months, Broadridge hopes many of the current operational challenges will be resolved but expects an ongoing high focus in this area, especially for global intermediaries

FCA to launch SPAC consultation

31 March 2021 UK
Reporter: Alex Pugh

Increased scrutiny and potential regulations of UK SPACs may choke off a valuable revenue stream for securities lending participants

Saudi Arabia finalises new SBL and short selling rules

29 March 2021 Saudi Arabia
Reporter: Drew Nicol

The Tadawul and Edaa have signed-off the country�셲 new securities lending and short selling rules framework following the public consultation last year, with several restrictions on on-lending and market participation scrapped

ESMA launches MMF consultation to review 2020 market stress

26 March 2021 France
Reporter: Drew Nicol

Following the COVID-19 market stress experienced by money markets in March 2020, the EU regulator is considering four wide-ranging proposals for rule changes to shore-up liquidity buffers and transparency

Broadridge partners with AccessFintech

23 March 2021 US
Reporter: Maddie Saghir

In the current market environment, the process of resolving settlement failures is manual, which Broadridge explains leads to greater operational risk, inefficiency, a challenging user experience, and regulatory non-compliance under CSDR requirements

SLR exemptions will lapse, Fed says

23 March 2021 US
Reporter: Alex Pugh

The nation�셲 federal banking regulator is considering tweaking 2014�셲 supplementary leverage ratio

CSDR: there are yet to be changes in industry behaviour

23 March 2021 UK
Reporter: Maddie Saghir

While BNY Mellon's Martin Smith notes that the penalty regime is fairly understood, he highlights that there is a question mark over what is going to happen with the buy ins

CSDR consultation responses show majority in favour of buy-ins becoming voluntary

19 March 2021 Belgium
Reporter: Maddie Saghir

Responses from the consultation, which ran from 8 December last year to 1 February this year, also showed that 14 respondents requested the buy-in regime be retained while 26 either did not respond or were neutral

Second GameStop hearing to focus on securities lending disclosure proposals

17 March 2021 US
Reporter: Drew Nicol

Witnesses from brokers, market utilities and universities are expected to call for amendments to Regulation SHO, Dodd-Frank, and Form 13F, while pitching new concepts for reporting securities lending activities

Don�셳 get starstruck by celebrity-endorsed SPACs, SEC says

17 March 2021 US
Reporter: Alex Pugh

The US SEC�셲 investor advocacy division has sounded the alarm on celebrity-sponsored SPACs, following activist short seller accusations of soon-to-be-listed companies duping retail investors

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