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ESMA submits final reports on CCP resolution regime

17 May 2022 Europe
Reporter: Carmella Haswell

The report sets out proposals for Regulatory Technical Standards and covers guidelines on the circumstances under which a CCP is deemed to be failing or likely to fail, and on the methodology to value each contract prior to termination

European Commission launches consultation to improve WHT refund procedures for cross-border investors

14 April 2022 EU
Reporter: Bob Currie

The consultation, which extends until 24 June, aims to strengthen controls to prevent cum-ex fraud and to digitalise procedures for WHT reclamation

FCA extend SFTR deadline for third country issuer LEIs

05 April 2022 UK
Reporter: Carmella Haswell

The Financial Conduct Authority will extend UK SFTR reporting of LEIs of non-EEA third country issuers for another 6 months, closely in line with ESMA鈥檚 deadline

PRA chief executive issues 鈥淒ear CEO鈥� letter highlighting cryptoasset risks

01 April 2022 UK
Reporter: Bob Currie

Sam Woods, chief executive of the UK Prudential Regulation Authority (PRA), has written to CEOs of banks and investment firms to remind them of their obligations under PRA rules regarding exposures to cryptoassets

EMIR and SFTR data quality 鈥榮ignificantly enhanced鈥�, says ESMA report

01 April 2022 Europe
Reporter: Carmella Haswell

Compared to the previous year, misreporting of valuations under EMIR fell by around 50 per cent across reporting firms subject to the review

FSB publishes its 2022 work programme

01 April 2022 Switzerland
Reporter: Bob Currie

The Financial Stability Board's annual work agenda will focus particularly on fallout from the Ukraine conflict, cross-border payments, climate risk, digital innovation and resilience of non-bank financial intermediaries

SEC explores tighter investor protection around SPAC transactions

31 March 2022 US
Reporter: Bob Currie

US securities regulator proposes changes to disclosure requirements, marketing practices and the role of gatekeepers and issuers to bring investor protection standards for SPAC and shell-company activities more into line with traditional IPOs

ESMA fines REGIS-TR 鈧�186,000 for EMIR data breaches

25 March 2022 Europe
Reporter: Carmella Haswell

REGIS-TR was found to have committed eight breaches relating to failures to ensure the integrity of data and to provide direct and immediate access to regulators

REGIS-TR UK receive EMIR license from FCA

23 March 2022 United Kingdom
Reporter: Jenna Lomax

REGIS-TR UK Limited has received its full UK European Market Infrastructure Regulation license from the Financial Conduct Authority

European Commission publishes proposal for CSDR review

17 March 2022 EU
Reporter: Carmella Haswell

The review aims to facilitate CSDs鈥� ability to offer cross-border services and improve their cross-border supervision

UK regulators advise on sanctions and cryptoassets

14 March 2022 UK
Reporter: Bob Currie

BoE, FCA and OFSI indicate that they are working closely with government agencies and law enforcement worldwide to share intelligence and to prevent evasion of sanctions, including breaches using cyberassets

FSB publishes research on CCP recovery and resolution

11 March 2022 Global
Reporter: Bob Currie

A new report by the FSB, in collaboration with CPMI and IOSCO, publishes the findings of research on CCP recovery and resolution tools which aims to strengthen the resilience and 鈥榬esolvability鈥� of CCPs in default and non-default loss scenarios

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