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Archegos and gilts crisis motivates tighter FCA scrutiny of non-bank financial intermediaries

22 May 2023 UK
Reporter: Bob Currie

Prompt action is necessary to enhance reporting from NBFIs and to establish better data for monitoring leverage and risk concentrations, according to the UK financial regulator

SEC proposes rule changes for US clearing houses

18 May 2023 US
Reporter: Bob Currie

The US 利卯郭肱 and Exchange Commission has targeted rule amendments that aim to strengthen resilience, recovery and wind-down procedures for clearing agencies

Regulatory reporting ��only going to intensify��, 利卯郭肱 Finance Technology Symposium panellist says

09 May 2023 US
Reporter: Lucy Carter

Regulatory reporting is a ��critical�� aspect of business that firms need to be paying attention to, speakers on the ��Regulatory Reporting: Rewrite, reform, refit�� panel at this year��s 利卯郭肱 Finance Technology Symposium in Boston agreed

Delta Capita partners with Reg X Innovations for regulatory services

03 May 2023 US
Reporter: Jenna Lomax

The new platform will process data from trading platforms and trade repositories to analyse reportable fields and data reporting errors

FSOC proposes extension of risk controls over non-bank financial institutions

25 April 2023 US
Reporter: SFT

The US Financial Stability Oversight Council has proposed rule changes that may tighten financial scrutiny of non-bank financial companies if they are deemed to present a threat to financial stability

European Parliament votes in favour of MiCA

20 April 2023 EU
Reporter: Bob Currie

Members of the European Parliament today voted to support the Markets in Cryptoassets Regulation by 517 votes to 38, with 18 abstentions, thereby approving a common rule set for issuance and trading, along with environmental and consumer protection

Kaizen Reporting buys compliance solutions specialist Red Deer

19 April 2023 UK
Reporter: Bob Currie

The acquisition will add Red Deer��s surveillance and research capability to the Kaizen hub, assisting middle office and compliance divisions in identifying cases of market abuse and meeting regulatory commitments

DSB launches Unique Product Identifier User Acceptance Test service

17 April 2023 UK
Reporter: Carmella Haswell

The service aims to support industry readiness and implementation of UPI regulatory mandates in derivatives markets, including amendments to the US Recordkeeping and Swap Data Reporting, EU EMIR Refit and UK EMIR

BoE and CFTC reinforce mutual supervision of cross-border CCPs

14 April 2023 US, UK
Reporter: SFT

Based on the 2020 MoU between the BoE and CFTC, the BoE has affirmed that it will continue to rely on CFTC��s supervision and oversight in the case of US-based CCPs that are ��incoming�� to the UK

Trade associations respond to PRA Basel Consultation

04 April 2023 UK
Reporter: Bob Currie

Industry bodies including ISDA, AFME and ISLA have published responses to the Prudential Regulatory Authority consultation on Basel 3.1 standards, warning against the impact of ��disproportionate capital costs�� on financing, liquidity and hedging

Strong improvement in capital reserves and liquidity risk profiles key to banking resilience, says BCBS

23 March 2023 Switzerland
Reporter: SFT

Since 2011, banks�� leverage ratio has improved from 3.5 to 6.5 per cent and their risk-based common equity tier 1 ratio (CET1) has risen from 7 to 13 per cent, according to Basel Committee

EU supervisors confirm ranking in resolution waterfall following Credit Suisse takeover

21 March 2023 Switzerland
Reporter: Bob Currie

The EU Single Resolution Board (SRB) has issued a statement confirming that holders of Additional Tier 1 (AT1) instruments should rank ahead of holders of common equity in case of resolution or insolvency of a banking institution in the Banking Union

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