RegStream

The Securities and Exchange Commission today announced that it has proposed to amend Form 13F to update the reporting threshold for institutional investment managers and make other targeted changes . The threshold has not been adjusted since the Commission adopted Form 13F over 40 years ago . Form 13F was adopted pursuant to a 1975 statutory directive designed to provide the Commission with data from larger managers about their investment activities and holdings, so that their influence and i...

This issue may not be relevant to all firms, but given the importance of valid certificates we feel it is important to flag . Due to the technical implications of this alert, firms should consider passing this message to the CISO/CTO/CIO as appropriate . We understand this is an issue that goes beyond the financial services sector so it may be prudent to check with any important suppliers or third-parties . Should you identify an issue please contact your provider directly . More informa...

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’.

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, published today an updated Opinion on ancillary activity calculations . The opinion provides the estimation of the market size of commodity derivatives and emission allowances for 2019 . ESMA has prepared these estimations based on data reported to the ESMA FITRS system as well as data reported to trade repositories under EMIR . Market participants, under the revised Markets in Financial I...

Double overreaction in beauty contests with information acquisition: theory and experiment Romain Baeriswyl, Kene Boun My, Camille Cornand SNB Working Papers 9/2020 Legal Issues DISCLAIMER The views expressed in this paper are those of the author(s) and do not necessarily represent those of the Swiss National Bank . Working Papers describe ...

ESMA publishes Guidelines on Securitisation Repository Data Completeness and Consistency Thresholds Friday 10 July 2020 11:04 The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today published its final report on the Guidelines on securitisation respository data completeness and consistency thresholds. The Guidelines provide clarity for market participants and securitisation repositori...

We normally publish our Annual Report and Accounts in July . However, the coronavirus (Covid-19) pandemic has created unprecedented challenges for the National Audit Office in completing the audit of the FCA’s financial statements, as well as those of other public bodies, in the usual timeframe . This means we will be unable to lay the document in Parliament in July . In response to the challenges caused by the pandemic affecting a number of other government entities, HMT has announced a g...

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.