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"Broad agreement" on FTT in European Parliament

10 January 2012 Brussels
Reporter: Anna Reitman

A "very broad agreement" in favour of an EU financial transaction tax emerged at the start of the Economic and Monetary Affairs Committee's work on the legislative proposal...

FINRA fines UBS Securities $12m

26 October 2011 Washington
Reporter: Anna Reitman

The Financial Industry Regulatory Authority (FINRA) has announced that it has fined UBS Securities $12 million for violating RegSHO and failing to properly supervise short sales of securities...

Primebroker begins ANZ lawsuit

24 October 2011 Sydney
Reporter: Anna Reitman

Primebroker has begun its lawsuit against ANZ, accusing the bank of misleading and deceptive conduct...

NSE to deliver securities lending rules in December

17 October 2011 Lagos
Reporter: Anna Reitman

Rules on securities lending are expected to be issued in December by management of the Nigerian Stock Exchange (NSE) in a bid to mature the capital market, according to media outlet This Day Live...

Hong Kong regulators deny market declines a result of short selling

09 October 2011 Hong Kong
Reporter: Anna Reitman

There is no indication that recent declines in the Hong Kong stock market have been caused by short selling activities, says capital markets regulator, the Securities and Futures Commission (SFC)...

Pirum releases new reporting for SEC rule 17a-13

06 June 2011 London
Reporter: Ben Wilkie

Securities lending technology company Pirum has released new reporting to facilitate compliance with SEC rule 17A-13, which requires borrowers to regularly confirm their on-loan positions with their lenders.

ICMA publishes 2011 Global Master Repurchase Agreement

16 May 2011 Zurich
Reporter: Justin Lawson

The International Capital Market Association (ICMA), has published the 2011 version of the Global Master Repurchase Agreement (GMRA); the most widely used legal agreement for documenting transactions in the cross-border repo market.

Clearstream and Euroclear set new securities framework

03 May 2011 Brussels
Reporter: Ben Wilkie

Euroclear Bank and Clearstream have developed a new industry framework to increase transparency and efficiency for the issuance and asset servicing of international securities in collaboration with the International Securities Market Advisory Group (

Naked short selling relief

02 May 2011 Canberra
Reporter: Justin Lawson

The Australian Securities and Investments Commission (ASIC) has made a minor amendment to ASIC Class Order [CO 09/774] Naked short selling relief for market makers ([CO 09/774]), which allows licensed market makers to short sell securities in the....

Study: EU ineffective

01 February 2011 London
Reporter: steven Lafferty

Independent Study: An EU proposal for the public disclosure of the net short positions of individual managers risks distorting financial markets and is not effective

AIMA responds to ESMA consultation on AIFMD

17 January 2011 London
Reporter: Steven Lafferty

The Alternative Investment Management Association (AIMA), has called for the implemented form of the Alternative Investment Fund Managers Directive (AIFMD) to be flexible, proportionate and based on the principles of openness and transparency.

Pakistan plans settlement automation

15 December 2010 Karachi
Reporter: Justin Lawson

The Securities and Exchange Commission of Pakistan (SECP) has approved the project of 鈥楢utomation of Securities Settlement鈥�, at the Central Depository Company of Pakistan Limited (CDC), which will be effective on December 20.

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