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SFTS: Action needs to be taken on DORA, speakers say

24 November 2023 UK
Reporter: Lucy Carter

Firms need to start their work on compliance with the Digital Operational Resilience Act now, panellists at this year鈥檚 Securities 麻豆影视传媒 Times Technology Symposium said, noting that the industry is currently lacking awareness about it

DORA to drive significant change to TPRM, says Acuiti

22 November 2023 UK
Reporter: Sophie Downes

DORA will apply to more than 20,000 EU regulated entities and has an extra-territorial impact for any firms with operations or activities in the EU

SEC issues final rules relating to CCP governance and service outsourcing

17 November 2023 US
Reporter: SFT

The final rules, adopted yesterday, look to reinforce governance standards relating to board independence, CCP use of external service providers, and steps to reduce potential conflicts of interest relating to board members and senior management

UK regulators report back on AI and Machine Learning consultation

26 October 2023 UK
Reporter: Bob Currie

Feedback statement publishes anonymised summary of consultation responses reflecting on how AI may impact regulators鈥� ability to deliver prudential and conduct of business supervision in the UK financial sector

ESMA and EBA publish joint guidelines consultation paper

23 October 2023 Europe
Reporter: Lucy Carter

The European Banking Authority and the European Securities and Markets Authority have released a consultation paper on two draft joint guidelines under the Markets in Crypto-Assets regulation

ECB identifies material weaknesses in managing credit risk with non-bank counterparties

23 October 2023 EU
Reporter: Bob Currie

This review, conducted in H2 2022, was based on a review of governance and counterparty credit risk management at 23 organisations involved in trading derivatives and securities financing transactions with non-bank counterparts

SEC fines Anson Advisors for short selling violations

20 October 2023 US
Reporter: SFT

The US securities markets regulator found that Toronto-based AAI had violated SEC Rule 105 which prohibits short selling of an equity during a restricted period, typically five business days prior to a covered public offering

SEC adopts Rule 10c-1 relating to reporting of sec lending trades

16 October 2023 US
Reporter: Bob Currie

Almost 18 months after the close of its two-stage public consultation, the US securities regulator has released final rules for implementation of Rule 10c-1 relating to the reporting of securities lending transactions

RMA: US banking regulators 鈥榝ailing鈥� to deliver on Basel III Endgame goals

13 October 2023 US
Reporter: Carmella Haswell

US banking regulators are not delivering Basel III Endgame goals of improving risk sensitivity and comparability, panellists heard at the RMA Conference

RMA: US Treasury Clearing proposal to increase costs

13 October 2023 US
Reporter: Carmella Haswell

The anticipated US Treasury Clearing proposal has caused concern for some firms, which indicate that the costs of its implementation will outweigh the benefits

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

13 October 2023 US
Reporter: Carmella Haswell

Tax regulation is a 鈥榣abyrinth鈥� 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鈥檚 1 January 2023 implementation date, outlining progress that has been made by BCBS member jurisdictions since the end-September 2022 update

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