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ESMA launches consultation on MiFID II framework

24 September 2021 France
Reporter: Carmella Haswell

The consultation proposes improvements to the MiFID II framework on best execution reports, aiming to ensure effective and consistent regulation and investor protection

Hazeltree prepares for UMR compliance

23 September 2021 US
Reporter: Rebecca Delaney

Hazeltree Collateral Management has been upgraded to allow clients to comply with phases 5 and 6 of the Uncleared Margin Rules

Wematch and Pirum Systems to extend partnership for CSDR

23 September 2021 UK
Reporter: Carmella Haswell

After partnering in June 2020, Wematch and Pirum are developing a solution to assist clients in preventing CSDR failures

SEC pays out more than US$1 billion to whistleblowers over past decade

16 September 2021 US
Reporter: Bob Currie

The assistance that whistleblowers provide is crucial to the SEC��s ability to enforce the rules of the road for our capital markets, says Commission chair Gary Gensler

Fund Recs automates connectivity with DTCC��s GTR service

15 September 2021 UK
Reporter: Maddie Saghir

DTCC has partnered with Fund Recs to deliver new automated reconciliation capabilities in support of EMIR and SFTR trade reporting requirements

Banca del Ceresio adopts deltaconX platform

06 September 2021 Switzerland
Reporter: Jenna Lomax

Swiss based Banca del Ceresio has chosen deltaconX��s regulatory platform to fulfil its reporting obligations under FinfraG �� a transaction reporting obligation put into effect by the Swiss Financial Market Infrastructure Act

Extradition of Hanno Berger approved by Swiss authorities

31 August 2021 Switzerland
Reporter: Bob Currie

Accused in German cum-ex scandal to be extradited from Switzerland, subject to appeal. Berger denies all charges

Malaysia��s intra-day short selling restrictions to remain until end of 2021

27 August 2021 Malaysia
Reporter: Bob Currie

Restrictions will continue on intra-day short sales, with changes proposed to the stock exchange trading system and application of an ��at-tick�� rule

Clearstream secures CSDR licence for its German CSD

25 August 2021 Germany
Reporter: Jenna Lomax

The authorisation is effective from 24 August 2021 and represents the final step in achieving full CSDR compliance for all of Clearstream��s CSDs

Use IM obligations as driver for collateral efficiency, urges ISDA��s O��Malia

19 August 2021 Global
Reporter: SFT

Scott O��Malia, ISDA��s chief executive, has asked industry participants to use the final implementation phases of initial margin (IM) rules for non-cleared derivatives as an opportunity to sharpen their collateral management practices

SEC settles with Toronto investment adviser Murchinson over short-selling violations

18 August 2021 US
Reporter: Bob Currie

The hedge fund adviser and two of its staff supplied inaccurate order information, causing executing brokers to breach uncovered short sale rules under Regulation SHO

SEC and ECB sign agreement on supervision of security-based swap dealers

17 August 2021 EU
Reporter: Bob Currie

US securities market regulator and European Central Bank sign MoU to facilitate supervision of security-based swap entities and to assist cross-border inspection

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