Pirum’s Post

Join many industry participants on the below webinar - always informative on a topic that will impact many.

Do you have any questions or concerns regarding the next regulatory wave to sweep across US securities finance, SEC 10c-1a? Join our reg reporting leaders, Thomas Veneziano from Pirum, and Igor Kaplun and Jonathan T. from S&P Global Market Intelligence Cappitech, for this not-to-miss webinar.   Our regulatory A-team will unpick and elucidate:  🔍 The most salient details from the SEC's most recent guidance ⌛ 10c-1a implementation timelines 🧲 The impact of OFR on SEC 10c-1a reporting   The webinar will also include an introduction from a FINRA representative.   Sign up via link 👇 because, when it comes to reg reporting, Pirum and S&P Cappitech have you covered. https://lnkd.in/d2xjM-ha   #SecuritiesFinance #Regulation #RegTech #SEC U.S. Securities and Exchange Commission Cappitech from S&P Global Market Intelligence

Enlightening and useful discussion on a matter central to the success of edpert professional engaged in dispute resolution.

Mondaq and Steptoe LLP's "#AssetRecovery and #JudgmentEnforcement: Focus on 2024 Trends in the US and UK" webinar has started. Steve Davidson, Michael Baratz and Molly Fox share their view. Webinar started off discussing the importance of making sure you have a plan for recovery from before investing time and money in a case, and that you keep an eye on the enforcement strategy throughout the case. https://lnkd.in/e7-JFWxm

On February 6, 2024, the Securities and Exchange Commission (SEC) finalized new rules 3a5-4 and 3a44-2 under the Securities Exchange Act to further define the phrase “as part of regular business” in the definition of broker-dealer. The new rules expand the scope of entities required to register as dealers with both the SEC and Financial Industry Regulatory Authority (FINRA). Read our analysis for next steps for impacted firms. Marjorie Forestal Mike Jamroz Joshua Uhl

On Jan. 25, Scott Budlong will participate in a TheCorporateCounsel.net webinar regarding the U.S. Securities and Exchange Commission’s (SEC) recent adoption of amendments to the beneficial ownership reporting rules under Section 13(d) and Section 13(g) of the Exchange Act and its issuance of new guidance under those rules. The discussion will provide insights into the basics of beneficial ownership reporting, the changes to the reporting scheme resulting from the amendments, and the implications of the SEC’s new guidance on cash-settled derivatives and Schedule 13D “group” formation. https://bit.ly/3SmR2xd

Day 26/30: Issuer Code Issuer Code in NSDL is the 4th, 5th, 6th & 7th characters of ISIN (International Securities Identification Number) [Explained in one of my previous posts] Keep in touch for more informative posts. #KnowledgeSeries #JoinTheJourney #InformativeFacts

Here is some reading material for your long weekend!

Glenn Havlicek, GLMX CEO and Co-Founder, spoke at the Securities Finance Times Securities Finance Symposium last week. You can find the recap of the conference in the newest SFT issue. "Glenn Havlicek, CEO and Co-Founder of GLMX, asked another question that arose throughout the panel — given geopolitical turmoil, interest rates and the national deficit (particularly in the US), is an inflation target of two percent still a realistic expectation?" (Pg.22) https://lnkd.in/epyB-wVx #GLMX #SFT #Markets #Repo #SecuritiesLending #Liquidity

My latest for Finadium: a snapshot of progress for securities lending transparency regs in the US, and what still needs to get resolved