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February
Two brothers living in Chicago and New York have been charged for naked short selling
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The European and Securities Markets Authority has published a consultation paper on the draft guidelines
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Regulations facing the securities lending industry remain uncertain but have the potential to hit the demand side and affect pricing and liquidity, according to Finadium
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January
The tool responds to regulations such as AIFMD and Form PF
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The European Securities and Markets Association has published a consultation paper on short selling and credit default swaps
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The new trade reporting system helps derivatives market participants to fulfill their regulatory commitments for derivative trade reporting
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Insured depository institutions of a certain size will need to submit periodic contingency plans for resolution in the event of failure
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The merger will help IMS Group to expand its regulatory expertise in the US
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The Securities Industry and Financial Markets Association has cautioned that the Volcker Rule could have a negative impact on global bond markets. Annabelle Palmer reports
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The proposed Section 619 of the Dodd-Frank Act, commonly known as the Volcker Rule, has received a fresh wave of criticism for being too complex and having a potentially negative effect on foreign markets. Stephanie Baxter reports
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New hire was previously global head of regulatory affairs at Barclays Capital
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The firm is alleged to have entered into millions of short sale orders without grounds to believe that the securities could be borrowed and delivered
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The European Commission could apply draconian funding standards to defined benefit pension schemes, modelled on Solvency II. It could lead to mass scheme closures and impact equity markets, writes Stephanie Baxter
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Following the Indian government’s move to allow foreign investors to allocate directly to its equity market, Jupiter India Fund’s Avinash Vazirani says the decision is good news for the country’s markets after a difficult year in 2011
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Custodian banks are concerned about how the depositary liability regime under the AIFM directive could affect asset allocation trends and complicate the investment process. Stephanie Baxter reports
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The European Commission has increased the length of public consultations and introduced an alert service
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The ban on certain financial instruments had been in place since 2008
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The Securities and Exchange Commission of Pakistan has relaxed rules around cash margin requirements and participation in the margin trading system