Leading the Way

Global Asset Servicing News and Commentary

Regulation news

SmartStream launches new regulation service

15 April 2025 US
Reporter: Clelia Frondaroli

The new solution will consolidate multiple regulatory indicators, including those from the Financial Conduct Authority, into one area

OKX receives fine from Malta’s FIAU

07 April 2025 Malta
Reporter: Clelia Frondaroli

Following a compliance review by the FIAU in April 2023, the authority identified gaps within OKX's compliance and AML frameworks

OKX breaches Thai license regulations

31 March 2025 Thailand
Reporter: Clelia Frondaroli

The Securities and Exchange Commission for Thailand found that OKX offered trading and exchange services for digital assets without the necessary license to do so

Safello partners with Zumo

13 March 2025 Nordics
Reporter: Clelia Frondaroli

DTCC’s GTR to add MiFID reporting capabilities

12 March 2025 US
Reporter: Jack McRae

Waystone launch compliance solutions in Hong Kong

06 March 2025 Hong Kong
Reporter: Jack McRae

The launch comes amid asset managers in Hong Kong facing increased challenges in navigating the regulatory environment

SEC extends clearing rule compliance deadlines

27 February 2025 US
Reporter: Daniel Tison

The Securities and Exchange Commission says this extension will provide additional time for further engagement on compliance, operational, and interpretive questions, and facilitate an orderly implementation of the rules

UK T+1 Accelerated Settlement Taskforce confirm implementation plan

06 February 2025 UK
Reporter: Carmella Haswell

Included in the plan is a code of conduct for market participants which confirms 11 October 2027 as the first trading date in the UK cash equities for settlement on T+1

IQ-EQ acquires Agama Group

04 February 2025 France
Reporter: Jack McRae

IQ-EQ says that the acquisition allows them to offer regulatory compliance services in continental Europe

Leading the Way

Global Asset Servicing News and Commentary