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RMA: Tax regulation: a 'labyrinth' creating collaborative opportunities

13 October 2023 US
Reporter: Carmella Haswell

Tax regulation is a ��labyrinth�� that is constantly changing, and is an entity that plays a prominent role in securities finance

BCBS releases adoption progress update

03 October 2023 Switzerland
Reporter: Lucy Carter

The update considers outstanding standards that remain after the Basel III framework��s 1 January 2023 implementation date, outlining progress that has been made by BCBS member jurisdictions since the end-September 2022 update

UK regulators push back final phase of Basel III reforms

27 September 2023 UK
Reporter: Bob Currie

The UK Prudential Regulation Authority (PRA) has pushed back the implementation date for the final phase of Basel III reforms in the UK by six months to 1 July 2025

Basel III capital ratios rise for largest global banks, finds BCBS report

26 September 2023 Switzerland
Reporter: Bob Currie

The most recent Basel III monitoring exercise finds that CET1 ratios for Group 1 banks have grown during H2 2022 to above pre-pandemic levels, rising 0.4 per cent to 13.1 per cent

Riksbank and the Bank of England reaffirm commitment to LCH oversight cooperation

25 September 2023 UK
Reporter: Jamie Richards

The Swedish and UK central banks have released a statement expressing continued commitment to their joint oversight of LCH Ltd.

FSB and IMF publish regulatory recommendations for cryptoasset activities

11 September 2023 Switzerland
Reporter: Jenna Lomax

The FSB and IMF have published a report recommending a policy and regulatory response to cryptoasset activities

SEC narrows securities association membership exemptions for firms trading off exchange

24 August 2023 US
Reporter: Bob Currie

Outlining the need for these amendments, 利卯郭肱 and Exchange Commission chair Gary Gensler indicates that some broker-dealers continue to rely on exemptions from national securities association registration that are ��older than the cell phone era

ESMA opens consultation on operating procedures for cryptoasset service providers

21 August 2023 EU
Reporter: Bob Currie

The consultation package provides a framework to guide the activities of service providers under the Regulation on Markets in Cryptoassets (MiCA), which entered into force in the European Union on 29 June 2023

SEC fines 10 broker-dealers for record keeping failures

08 August 2023 US
Reporter: Bob Currie

The 利卯郭肱 and Exchange Commission has charged 10 broker-dealer firms with recordkeeping failures and violations relating to their use of electronic communications

BoE proposes extra powers to restrict payments to CCP shareholders in stress conditions

03 August 2023 UK
Reporter: Bob Currie

As part of its responsibility to preserve financial stability, the Bank of England has proposed additional powers to restrict discretionary payments to CCP shareholders or employees in severe circumstances, including dividends and share buy-backs

New-Jersey ETF Managers fined for breaches relating to award of securities lending mandate

02 August 2023 US
Reporter: Bob Currie

The 利卯郭肱 and Exchange Commission has fined a New Jersey-based exchange-traded fund manager for breaches relating to the award of a securities lending mandate and for taking actions detrimental to the best interests of the fund and its investors

Clearstream picks Regnology��s Rcloud for cloud-enabled regulatory reporting

02 August 2023 Germany
Reporter: Jenna Lomax

The platform, powered by Google Cloud Platform, was launched in November 2022 and delivers report submission and reporting data software

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