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FCA fines Bastion Capital for cum-ex violations

13 July 2023 UK
Reporter: Bob Currie

The UK regulator ruled that the transactions were carried out in a way “that was highly suggestive of financial crime” and that the broker had failed to manage risk that it was being used to facilitate fraudulent trading and moneylaundering

Interactive Brokers launches Securities Lending Dashboard

13 July 2023 US
Reporter: Jamie Richards

The Connecticut-based electronic broker has targeted the new tool towards short traders and will track securities that trade in North America, Europe and Asia

SFTs are risky, complex and difficult to understand for some retail clients, says ESMA

13 July 2023 Europe
Reporter: Carmella Haswell

The European authority has released a public statement highlighting the risks of securities lending in regards to retail client financial instruments, and how MiFID II rules apply to protect investors

SEC raises minimum liquidity provisions for MMFs

13 July 2023 US
Reporter: SFT

These amendments, the SEC says, are designed to reduce the risk of investor runs on MMFs during periods of market stress by boosting MMF liquidity, improving transparency and reinforcing anti-dilution practices

JSF and University of Tokyo release report on DLT

13 July 2023 Japan
Reporter: Jamie Richards

Japan Securities Finance Co. and The University of Tokyo’s Graduate School of Engineering have collaborated on a report on the use of distributed ledger technology in securities finance transactions

Clearstream GSF volumes outstanding increase 15% YoY for June

12 July 2023 Luxembourg
Reporter: Jamie Richards

Clearstream’s global securities financing business recorded a 15 per cent YoY increase in volumes outstanding to €681.1 billion for June, according to recent monthly figures

ISDA appoints Shone to lead data and digital product strategy

12 July 2023 UK
Reporter: Carmella Haswell

David Shone, former director of digital affairs at the International Securities Lending Association, will join the International Swaps and Derivatives Association to lead the product vision, strategy and execution for ISDA’s data and digital products

UK government proposes changes to short selling rules

12 July 2023 UK
Reporter: Bob Currie

This announcement extends HMT proposals advanced under the December 2022 “Edinburgh Reforms” that are designed to exploit the UK’s exit from the European Union to develop its own UK-tailored financial services legislation

HQLA^x appoints Paul to lead client onboarding team

11 July 2023 UK
Reporter: Carmella Haswell

Anand Paul, former programme manager at Credit Suisse, has joined HQLA^x to lead its client onboarding team

ESMA publishes manual on post-trade transparency

11 July 2023 EU
Reporter: Jamie Richards

The European Union’s financial markets watchdog has published a guide to post-trade transparency requirements and guidance regarding how to apply commitments under the Markets in Financial Instruments Regulation in a consistent way

GPFA appoints Borgquist

11 July 2023 Abu Dhabi
Reporter: Jamie Richards

The Global Peer Financing Association has welcomed Amy Borgquist as head of international (outside North America)

Dinosaur Merchant Bank hires Fuller

11 July 2023 UK
Reporter: Carmella Haswell

Scott Fuller joins the international investment bank’s prime brokerage sales team where he will bring more than 36 years of experience within the financial services industry

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