ESMA has rejected a request from the European Commission to remove the wording of LEIs in the upcoming rules.
SEBI has been active in trying to implement reforms in the securities lending market to grow volumes and mutual fund participation.
FINRA has fined Interactive Brokers for failing to comply with short selling rules between 2012 and 2015.
Citi report highlights UCITS delegation rules as key issue for asset managers.
Setting up OFCs is said to save time and cost for managers establishing funds at other domiciles and distributing funds in Hong Kong.
The UK’s FCA and ten other financial regulators have laid out plans for a new global financial innovation network.
The investigation follows the recent $75 million settlement Deutsche Bank agreed to pay to the SEC for improper handling of pre-released ADRs.
The European Commission intends to endorse the draft regulation but will amend certain details ahead of implementation.
Prime brokers and their capital introduction teams may have to rethink how they operate with new pre-marketing rules set to be enforced.
The watchdog has called upon UK and German regulators to revise national exemptions on collateral requirements within the UCITS framework.