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  • SIFMA And Bank Policy Institute Respond To Banking Agencies’ Proposed Guidance On The Living Will Process - Associations Submit Comment Letter In Support Of The Living Will Process And Outlining Lessons Learned From Past Submissions

    Date 17/09/2018

    Today, the Securities Industry and Financial Markets Association (SIFMA) and the Bank Policy Institute (BPI) submitted a comment letter on the proposed guidance issued by Federal Reserve and FDIC that would apply to the living wills prepared by the eight U.S. banks designated as G-SIBs. The letter strongly endorses the living wills process for these banks and offers suggestions for improvements based on experience to date.  Emphasizing that that living wills are an important pillar of the post-crisis rulebook for the largest banks, BPI and SIFMA in the letter commend the agencies’ effort to update and refine their guidance through a public notice and comment process to make it more efficient and effective.

  • Canadian Securities Administrators Appoints New Secretary General

    Date 17/09/2018

    The Canadian Securities Administrators (CSA) today announced the appointment of Laura Belloni as Secretary General, effective September 17, 2018.

  • SEC And NYU To Host Sept. 21 Forum On High-Frequency Trading And Liquidity Resiliency

    Date 17/09/2018

    The U.S. Securities and Exchange Commission's Division of Economic and Risk Analysis and Division of Trading and Markets are partnering with New York University's Salomon Center for the Study of Financial Institutions to bring together regulators, practitioners, and academics for a half-day symposium on Sept. 21 at the SEC headquarters in Washington, D.C. Panelists will discuss the impact of high-frequency trading and the resiliency of liquidity in securities markets.

  • United Kingdom Article IV Press Conference, IMF Managing Director’s Opening Remarks

    Date 17/09/2018

    Dear Chancellor, thank you very much for your kind introduction. Ladies and gentlemen, good morning. It’s always a pleasure to be in London. We are here for our annual review of the British economy, the Article IV consultation. Last time I met with you was in December 2017, so just about nine months ago. At that time, the 2017 cycle had been delayed by the election and taken about 18 months. So, I guess on average we are OK…

  • SEC: Mark Wolfe Named Associate Director In Office Of Derivatives Policy And Trading Practices

    Date 17/09/2018

    The Securities and Exchange Commission today announced that Mark E. Wolfe has been named Associate Director of the Office of Derivatives Policy and Trading Practices in the agency’s Division of Trading and Markets. 

  • CFTC Orders Introducing Broker And Principal To Pay A $300,000 Civil Monetary Penalty For Supervisory And Recordkeeping Failures

    Date 17/09/2018

    The Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Global Access Advisors LLC d/b/a Daniels Trading (GAA), a Chicago-based Introducing Broker (IB), and its principal and registered Associated Person (AP), Glenn A. Swanson, for failure to diligently supervise employees’ handling of customer accounts subject to post-execution allocation.  GAA was also charged with failure to preserve complete records.

  • New Crypto Exchange IronX Awarded Regulatory Licence

    Date 17/09/2018

    IronX, the new Crypto Exchange joint venture between leading global online broker IronFX Group and EmurgoHK, creator of the Cardano Blockchain, today announces it has been awarded full regulatory licence approval by the Estonian Financial Intelligence Unit (FIU). This licence allows IronX to operate as a fully regulated exchange for the trading of cryptocurrencies, as part of their drive to set the industry standard and one of the first in Europe to seek and receive this level of approval.

  • Senasen: An Innovative Solution To A Long-standing Problem

    Date 17/09/2018

    Companies and asset managers are looking for more effective ways to interact directly with their investors under regulatory changes, such as MiFid II. With markets becoming more jittery, investors are also seeking more effective real time channels of engagement.

  • CFTC Charges Precious Metals Dealer And Its Owner With Fraud

    Date 17/09/2018

    The Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Southern District of New York against Defendants Royal Metals Group, LLC (RMG), and its member, manager and part owner, Chelsea Gless of Iowa.  The CFTC’s Complaint charges Defendants with defrauding retail clients in connection with precious metals transactions and fraudulently obtaining more than $600,000 from those clients.   

  • Launch Of The Public Register For The UK Money Markets Code

    Date 17/09/2018

    The Register lists institutions which have agreed to publicly displaying their signed Statement of Commitment to the UK Money Markets Code.