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FINRA proposes amendments to Rule 6500 Series

18 November 2024 US
Reporter: Carmella Haswell

The authority believes it is appropriate to delete aspects of the original proposal to facilitate the achievement of the initial SLATE reporting requirements in a timely manner

SF Symposium: Automation is key, but T+1 challenges remain

12 November 2024 UK
Reporter: Jack McRae

The panellists shared their own experiences from North America��s own shift in May 2024 �� largely accepted as a general success

Korea approves new short position balance rules

06 November 2024 South Korea
Reporter: Carmella Haswell

The revision is part of the comprehensive short sale reform measures announced on 13 June 2024, and will take effect from 1 December

SEC postpones FINRA��s Rule 6500 SLATE again

29 October 2024 US
Reporter: Carmella Haswell

After previously extending the time period to reach its decision, the SEC has now filed a notice of designation of longer period for commission action on proceedings to determine whether to adopt the FINRA Rule 6500 Series

SEC adopts new rule for covered clearing agencies

28 October 2024 US
Reporter: Carmella Haswell

The US 利卯郭肱 and Exchange Commission has also adopted new amendments regarding a covered clearing agency��s collection of intraday margin

ECMS official launch date announced

25 October 2024 EU
Reporter: Daniel Tison

National central banks of the euro area and their counterparties will test the system in a stable environment to ensure user readiness ahead of its official launch

ISDA Digital Regulatory Reporting takes effect in Australia and Singapore

21 October 2024 Australia, Singapore
Reporter: Daniel Tison

The updated regulations aim to enhance transparency and oversight in OTC derivatives markets in Singapore and Australia

Thailand to increase brokerage violation fines

21 October 2024 Thailand
Reporter: Daniel Tison

The fine penalty against naked short selling and failed margin calls will triple from 1 November

India rolls out direct payout system for securities transactions

09 October 2024 India
Reporter: Daniel Tison

This will eliminate brokers�� role in the settlement process of securities lending and borrowing from January 2025

Thailand proposes changes to securities trading regulations

08 October 2024 Thailand
Reporter: Daniel Tison

The proposed draft amendments aim to enhance the oversight of securities trading services, maintain fair practices, and clarify service provision of securities companies

ESMA consults on regulatory technical standards revision

03 October 2024 EU
Reporter: Daniel Tison

The proposed changes aim to reduce reporting burdens by aligning fields across financial regulations

UK EMIR reporting regime comes into force

30 September 2024 UK
Reporter: Daniel Tison

All newly entered or modified derivative trades at both trade and position levels need to comply with the new requirements

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