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SEBI introduce new guidelines for short selling transactions

08 January 2024 India
Reporter: Sophie Downes

Under the framework, all classes of investors are permitted to short sell, however there are stringent measures around disclosure practices

Boulton joins BrokerTec as director

08 January 2024 US
Reporter: Sophie Downes

Jamie Boulton brings extensive experience within the repo markets to the role, where he will focus on the expansion of the BrokerTec Quote dealer-to-client RFQ venue

ESAs propose extending the EMIR equity option exemption

21 December 2023 Europe
Reporter: Sophie Downes

The draft proposes a two-year extension to the equity option exemption from bilateral margining as well as issue a no-action opinion

Buy-side associations take legal action against SEC over short-sale disclosure

13 December 2023 US
Reporter: Bob Currie

AIMA, MFA and NAPFM file petition asking the US Court of Appeals to invalidate newly-adopted SEC rules on reporting and public disclosure of securities lending and short selling activity

UK regulator issues guidance for Basel 3.1 implementation

12 December 2023 UK
Reporter: Bob Currie

This ��near-final�� policy statement responds to feedback advanced by the market on the CP 16/22 consultation paper on Basel 3.1 standards that was circulated in November 2022

ESAs launch consultation on second batch of policy mandates under DORA

11 December 2023 Europe
Reporter: Sophie Downes

These policy mandates aim to ensure a consistent legal framework for companies dealing with cyber-attacks or threats to their ICT-related processes

FINRA orders four firms to pay US$2.6 million for fully paid securities lending violations

07 December 2023 US
Reporter: Carmella Haswell

The combined amount includes US$1 million in restitution to retail customers enrolled in fully paid securities lending programmes and fines of US$1.6 million for the firms�� related supervisory and advertising violations