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Canadian Securities Regulators Outline Framework for Crypto Asset Platforms

Scott Porter -
The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) today published a notice outlining securities law requirements that apply...
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Compliance

Deutsche Börse Introduces buy-in Facility in Accordance with CSDR

Virginia Reagan -
In February 2022, harmonised standards to increase settlement discipline for securities transactions will come into force in the European Union as part of the...
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Compliance

IOSCO Urges Globally Consistent, Comparable and Reliable Sustainability Disclosure Standards

Virginia Reagan -
The Board of IOSCO, the forum for global securities regulators, met today and discussed the progress made over the past year by its Sustainable...
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Compliance

Institutional Investors Ask Asset Managers for More Transparent ESG Reporting

Hamilton Joel -
Carbon footprint and exposure to climate-related risk are among the areas under scrutiny During the past five years, there has been a flood of available...
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Analysis

Digital Markets: Closing the Regulatory Gap on All Fronts?

Scott Porter -
The European Commission is opening multiple fronts to adapt and increase regulatory oversight of digital players in the EU Internal Market. At the same...
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Analysis

MiCA: EU Commission Publishes Comprehensive Cryptoasset Market Regulation Proposal

Virginia Reagan -
The proposed regulation will provide greater consumer and investor protection and lessen the risks of participating in digital finance. By Stuart Davis The EU Commission has published...
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Compliance

Morgan Stanley to Pay $5 Million for Violations in Prime Brokerage Swaps Business

Scott Porter -
The Securities and Exchange Commission today confirmed settled charges against Morgan Stanley for violations of Regulation SHO, the regulatory framework governing short sales. According to...
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Compliance

European ESG Disclosure Requirements for Asset Managers

Guest Post -
by Kirsten Lapham, Michael Singh, Amar Unadkat, John Verwey A new European regime on sustainability-related disclosures in the financial sector will come into force from...
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Analysis

CFTC Considers New Approach to Regulation of Electronic Trading

Guest Post -
by Donna Parisi, Geoffrey B. Goldman, Azam Aziz, Jennifer Oosterbaan Introduction In the wake of considerable market criticism of prior proposals, the CFTC has proposed a...
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Compliance

Canadian Securities Regulators Offer Liquidity Risk Guidance for Investment Funds

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

Boosting Blockchain: Germany to Introduce Electronic Securities

Guest Post -
by Dr. Nick Wittek, Dr. Michael R. Fischer, Martin Schulte, Harriet Territt, Philippe Goutay, Stephen J. Obie, Mark W. Rasmussen In Short The Situation: The requirement for...
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Compliance

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

Scott Porter -
Independent report estimates that a consolidated self-regulator would result in $380M to $490M in savings The Investment Industry Regulatory Organization of Canada (IIROC) released an...
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