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Canadian Securities Regulators Offer Liquidity Risk Guidance for Investment Funds

The Canadian Securities Administrators (CSA) today published guidance intended to help investment fund managers develop and maintain effective liquidity risk management frameworks...

Boosting Blockchain: Germany to Introduce Electronic Securities

by Dr. Nick Wittek, Dr. Michael R. Fischer, Martin Schulte, Harriet Territt, Philippe Goutay, Stephen J. Obie, Mark W. Rasmussen

Consolidating Mutual Fund Regulators Would Save up to Half a Billion Dollars

Independent report estimates that a consolidated self-regulator would result in $380M to $490M in savings The Investment Industry Regulatory...

ESMA Proposes to Further Postpone CSDR Settlement Discipline

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today published a final report on draft regulatory technical standards (RTS)...

CFTC Finalizes Cross-Border Swaps Rule

by Joseph Vebman, Mark D. Young, Jonathan Marcus, Daniel B. O'Connell, Skadden, Arps, Slate, Meagher & Flom LLP On July 23, 2020,...

SEC, FINRA Provide Guidance Regarding Cybersecurity, AI and Digital Assets

by Valerie Dahiya and Thomas Ahmadifar, Perkins Coie LLP The U.S. Securities and Exchange Commission (SEC) and the Financial...

AML, KYC and Sanctions Fines for Global Financial Institutions Reach $5.6 Billion Mid-Year

Repercussions from high profile scandals and compliance failings hit US, Israeli, Nordic and German banks hardest Digital transformation specialist...

ISS Introduces Compliance Solution for Custodians Ahead of SRD II Deadline

Governance specialist Institutional Shareholder Services Inc. (ISS), confirmed that it has launched a Global Proxy Distribution (GPD) Shareholder Identification Service, which it...

ICI: SEC’s Fair Value Proposal Modernizes Current Regulatory Framework

Modifications Needed to Reflect Funds’ Practices The proposed fair value rule from the Securities and Exchange Commission (SEC) replaces...

Industry Paper Tackles Regulatory-Driven Market Fragmentation in Asia

The report provides recommendations for a more holistic and coordinated approach to policy development and implementation with case studies from the region’s...

ESG in Structured Finance Transactions

by Martin Sharkey, Partner, Dentons Background A concern for the environment, fair treatment and the rule...

Initial Margin Guidance for US Swap End Users

I. Introduction Thanks to recent actions taken by the Commodity Futures Trading Commission (CFTC) and the five US prudential...
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Deutsche Börse Launches Buy-in Agent Service

Deutsche Börse Group said it was taking another important step in its efforts to best support both the financial industry and the regulatory agenda....

Finastra Partners with Xceptor to Automate its Securities Reconciliaton Offering

Finastra confirmed today that it is partnering with Xceptor, an intelligent automation software company, to offer new reconciliation functionality to its securities market customers. Thanks...

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...