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Securities / Derivatives
ESMA Recommends Lower Short Position Reporting Threshold
By Editors | 24/05/2021
ESMA says a “substantial amount” of essential information became available to NCAs after the notification threshold was lowered to 0.1% last year.
Enforcement
Nomura, UBS, UniCredit Fined for Participating in Trading Cartel
By Editors | 24/05/2021
During Europe’s sovereign debt crisis, the banks shared information about their EGB bidding and trading strategies in Bloomberg terminal chat rooms.
Market Infrastructure
CME Group to be Recommended as SOFR Term Rate Administrator
By Editors | 24/05/2021
A recommended SOFR term rate is now in clear sight, said Tom Wipf, ARRC Chairman and Vice Chairman of Institutional Securities at Morgan Stanley.
AML / KYC
Hong Kong to Bar Retail Investors from Crypto Trading
By Manesh Samtani | 24/05/2021
Hong Kong’s FSTB has issued consultation conclusions on the new licensing regime for VASPs and a new registration regime for precious metals dealers.
Capital / Liquidity
ISDA Calls for Uniform Approach to Risk Data Reporting
By Manesh Samtani | 22/05/2021
Regulators would have a greater degree of confidence in the consistency and accuracy of the risk data being collected if they used an established industry standard in their reporting requirements.
Enforcement
SEC Penalises S&P Dow Jones Indices for Disclosure Failure
By Ranamita Chakraborty | 22/05/2021
The SEC settled charges against S&P DJI for the dissemination of stale index values which resulted from an undisclosed quality control feature.
Big Picture
Infrastructure Critical for Successful CBDC Development – Report
By Sanday Chongo Kabange | 22/05/2021
A new report analyses the four axes of consideration for the design features of all CBDCs, as proposed by the IMF, and the implications each choice has on infrastructure.
Big Picture
CBDCs Present Central Banks with Risk-Benefit Trade-off: Fitch
By Sanday Chongo Kabange | 20/05/2021
The potential for funds to move quickly into CBDC accounts could cause credit strains in some banks and push up interest rates.
Market Infrastructure
ICMA Publishes ‘Success Criteria’ for Sustainable Finance Taxonomies
By Editors | 20/05/2021
ICMA compares the main features and methodologies of official taxonomies and provides five success criteria for use in benchmarking.
ESG / Sustainability
CFA Institute Proposes Harmonised ESG Disclosures for Funds
By ESG Investor | 20/05/2021
An exposure draft from CFA Institute outlines a proposed disclosure framework for ESG-focused investment products.
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