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The transition to faster securities settlement in the US will have a significant impact on UK and EU firms with holdings in North and Central America.
If you haven’t reviewed your valuation practices recently, now would be a good time to start.
The proposed changes are to address behavior by some banks around “window dressing” reporting and disclosure of G-SIB scores.
Move aims to help broker-dealers preparing for a shortened standard settlement cycle.
Sixth case brought by the FCA in relation to cum-ex trading with support of global law enforcement authorities.
The new UK Private Intermittent Securities and Exchange System (PISCES) is a platform for secondary trading in freely transferable shares issued by UK or non-UK companies.
Annual Report underlines change in tone from punitive enforcement to incentivizing good conduct.
The ETF manager agreed to settle an SEC investigation into a social media influencer’s role in promoting a fund it launched in 2021.