All posts tagged "investment firms"
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1.2KAML / KYCUS Investors Barred from Buying Stocks Linked to Chinese Military
Index providers will likely be forced to remove companies like China Mobile and China Telecom from key benchmarks by 11 January.
November 16, 2020 -
852InternationalOECD, UNDP Launch Plan to Align Global Finance with SDG Goals
According to new research from Standard Chartered, SDGs are not getting the investment needed to meet the targets by 2030.
November 16, 2020 -
1.2KEuropeEBA Consults on Integrating ESG into Risk Management, Supervision
The consultation paper focuses on counterparty risks and climate change impacts for European investment firms and credit institutions.
November 9, 2020 -
1.5KAML / KYC
EBA Calls for Harmonised AML/CFT Framework Across EU
Responding to a European Commission call for advice, the EBA says it recommends the establishment of a single rulebook to harmonise the AML/CFT framework across the EU.
September 11, 2020 -
910EuropeSFTR Reporting Regime Goes Live for Sell-Side Firms
Banks, investment firms, CSDs and CCPs started reporting securities financing transactions to approved trade repositories on Monday.
July 14, 2020 -
631Australia & NZ
ESMA Clarifies Transparency Rules, Position Limits for Non-EU Venues
ESMA has clarified its application of post-trade transparency requirements and the position limits regime to third-country trading venues.
June 4, 2020 -
890Europe
ESMA Approves Four Trade Repositories for SFTR Reporting
DTCC, UnaVista, KDPW and REGIS-TR will have their TR registrations for derivatives contracts under EMIR extended to include securities financing transactions under SFTR.
May 10, 2020 -
699Europe
ESMA Defers SFTR Start Date for Phase One Reporting Entities
ESMA now expects trade repositories, credit institutions, investment firms to be ready for SFTR reporting from 13 July, alongside CSDs and CCPs.
March 19, 2020 -
1.0KEuropeEuropean Commission Launches MiFID II Review
The introduction of a consolidated tape and enhancements to investor protection are high priority items in the review.
February 20, 2020 -
799Asia-PacificSEC Philippines Drafts Derivatives Investment Rules for Funds
The global exposure to financial derivatives must not exceed 20% of the qualifying fund's net assets, up from 10% previously.
January 29, 2020
