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US Regulators Target “DeFi” or Decentralized Finance
The US Securities and Exchange Commission (SEC) would like to intensify its scrutiny of decentralized finance, also known as “DeFi”, as the market for blockchain-based financial services continues to grow.
Stablecoins Don’t Need to be Issued by Banks: Federal Reserve Board Head
Stablecoins do not need to subject to full banking regulation and while they carry special risks, market participants apart from banks should be able to issue them, the Federal Reserve Board Governor Christopher Waller has said.
SEC Rule Aims to Place Foreign Company Auditing on Equal Footing
Trading in foreign companies listed in US stock exchanges can be suspended if a foreign country prevents US regulators from inspecting the company’s auditor for three consecutive years, under new rules approved this week.
Global Rules for Commodity Derivatives Trading Set for Overhaul
The international securities standards-setting body has proposed to reform international guidelines on the regulation and supervision of the commodity derivatives markets as a result of the emergence of new trading technologies and a growing reliance on electronic trading.
Restrictions on Senior US Federal Reserve Personal Trading After Controversy
Senior US Federal Reserve staff will be prohibited from buying individual securities and will be restricted from investing in diversified investment vehicles such as mutual funds, following an independent review of the trading activity of senior policymakers in recent months.
South Korea’s FSC Expands Availability of Fractional Trading
South Korea’s FSC has announced plans to reform its current fractional trading system and make fractional trading of both domestic and foreign stocks available as part of plans to expand the options available to local investors.
US SEC Moves to Close the Regulatory Gap on Frequency Trading
The US Securities and Exchange Commission (SEC) is moving towards requiring traders involved in high-frequency trading being required to register with the SEC as dealers and subject to supervision as traders in the equities and corporate bond markets.
International Consultation on Margin Calls
Key global standard setters, the Basel Committee on Banking Supervision, the Committee on Payments and Market Infrastructures and the International Organization of Securities Commissions are inviting comments on a new joint consultative report.
McKinsey Partner Charged With Insider Trading Over Fintech Deal
A partner at global management consulting firm McKinsey Consulting has been charged with insider trading over allegedly buying call options in a fintech startup company after learning it would be acquired by Goldman Sachs.
Qualified Foreign Investors to Have Access to China's Derivatives Market
Institutional investors are now able to invest in Chinese commodity futures, commodity options, and stock index options under a further expansion of investment options available under China’s Qualified Foreign Investor (QFI) programme. The addition of these categories from 1 November 2021 is an effort by Chinese regulators to broaden the attractiveness of the scheme.
EU Moves Further Towards the Regulation of Finance AI and High Frequency Trading
The European Securities and Markets Authority (ESMA) has produced a series of recommendations on a proposed EU Regulation on the use of algorithmic trading, including high-frequency trading (HFT).
As the EU Continues to Debate a Consolidated Tape for Equities, AFME Backs Commission on Real-Time Data
The Association for Financial Markets in Europe (AFME) has backed European Commission plans for a real time consolidated tape on equities and debt trades throughout Europe.