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CSDR penalty mechanism gets a relook; ESMA shares advice

  • 20 November, 2024

T2S annual report: Settlement efficiency still a “key topic”

  • 28 May, 2024

Industry says no to progressive settlement fail penalties

  • 6 March, 2024

Credit Suisse caught in S$3.9 million OTC misconduct incident

  • 29 December, 2023

Progressive penalties for settlement fails might become reality under CSDR revamp

  • 20 December, 2023

Reporting failures cost three banks US$50 million in penalties

  • 4 October, 2023

SEC charges 11 firms with record keeping failures

  • 10 August, 2023

Can’t settle fully? Do it partly and escape fines

  • 11 March, 2020

Industry unites: Scrap or delay CSDR’s buy ins

  • 28 January, 2020

Anti-money laundering fines doubled in 2019

  • 22 January, 2020

Two days’ SDR fine could sweep full commission

  • 17 December, 2019

CSDR settlement discipline regime – update and key takeaways from stakeholder meetings

  • 15 November, 2019

CSDR – fail to prepare and prepare to pay

  • 5 September, 2019

ESMA fines Regis-TR for access failures

  • 23 August, 2019

Sail or sink: navigating sanctions risk in a pre-trade environment

  • 27 May, 2019

UBS misreported 136m transactions

  • 19 March, 2019