Compliance

Basel Building

Basel Committee, IOSCO Agree to One-Year Extension to OTC Margin Requirements

The Basel Committee on Banking Supervision and the International Organization of Securities Commissions (IOSCO) have acknowledged the progress that has been made to implement...
SEC

SEC Adopts Capital, Margin and Seg Requirements

The Securities and Exchange Commission has taken another significant step toward establishing the regulatory regime for security-based swap dealers by adopting a package of...
Cybersecurity

Regulators Urge Use of Existing Standards to Address Cyber Risk

The Board of the International Organization of Securities Commissions today issued a final report that provides an overview of three internationally recognized cyber standards...
Aite Group

Uncleared Margin Rules and the Rise of Initial Margin Optimization

As the industry prepares for the next phases of UMR, the full impact of the challenges it will face are still unknown, according to...
Global Network

Regulators Examine Regulatory-Driven Market Fragmentation, Cross-Border Cooperation

The Board of the International Organization of Securities Commissions today published a report that examines instances of regulatory-driven fragmentation in wholesale securities and derivatives...
Global Network

The Cost of Clearing Fragmentation

A new working paper from Bank of England Fragmenting clearing across multiple central counter-parties (CCPs) is costly. This is because dealers providing liquidity globally, cannot...
IOSCO Logo

US has Fully Implemented PFMI for Central Securities Depositories and Securities Settlement Systems

A CPMI-IOSCO report concludes that the US legal, regulatory and oversight frameworks for systemically important PSs and CSDs/SSSs (as of March 2018) are complete...

IOSCO Requests Feedback on Crypto-Asset Trading Platform Regulations

The development of crypto-assets is an important area of interest for regulatory authorities around the world, and accordingly, the Board of the International Organization...
SEC

SEC Addresses Cross-Border Application of Security-Based Swap Requirements

The Securities and Exchange Commission has proposed a package of rule amendments and interpretive guidance to improve the framework for regulating cross-border security-based swaps...
Pocketing Money

Fund Managers Frequently Pocket Large Portions of Securities Lending Revenues

EU rules governing the practice of securities lending by UCITS funds stipulate that 100% of the income from securities lending - net of direct...
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Operations

Compliance

FinTech

Risk