Compliance

UK’s FCA concludes first SSR enforcement against HK asset manager

The UK’s Financial Conduct Authority (FCA) has taken its first-ever enforcement action for a breach of the Short Selling Regulation (SSR).The market regulator has...

Retooling the NMS/SIP Market Data Universe

The SEC’s initiative to revamp the National Market System (NMS) data collection and distribution framework is both welcome and overdue (see SEC press release 2020-34)....

UK’s FCA concludes first SSR enforcement against Premier Oil short seller

The UK’s Financial Conduct Authority (FCA) has taken its first-ever enforcement action for a breach of the Short Selling Regulation (SSR).The market regulator has...

CFTC releases no-action letters offering further relief for clearing organisations during Libor transition

The Commodity Futures Trading Commission (CFTC) has published two additional no-action letters offering relief to derivatives clearing organisations (DCOs) transitioning to the secured overnight...

SFTR: Buy side start reporting

Buy-side members must begin reporting under the EU's Securities Financing Transactions Regulation (SFTR) from today as part of the third phase of implementation.SFTR reporting...

BMA grants operating licence to new crypto exchange operator

CrossTower, a new exchange operator, has been granted a license to operate in Bermuda by the Bermuda Monetary Authority (BMA) under the Digital Asset...

London Stock Exchange Group makes plans for a no-deal Brexit

    LSEG’s pan-European equities trading venue Turquoise has released a contingency plan that will come into affect in the event of a no-deal Brexit. The stock...

LCH SA to support the clearing of €87.4 billion of EU emergency SURE bonds

Central clearing counterparty (CCP) LCH SA will support the clearing of bonds issued as part of the European Union’s temporary support to mitigate unemployment...

Reporting data integrity undermined by widespread LEI lapses

As much as 30 percent (500,000) of legal entity identifiers globally are out of date and in need of renewal, according to LEI Worldwide,...

TORA Expands OEMS Offering to Include Fixed Income

 TORA, the provider of industry leading trading technology, has today announced that it has expanded its multi-asset Order & Execution Management System (OEMS) trading...
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