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UK Financial Conduct Authority Confirms New Disclosure Rules And Transparency Rules

Date 22/12/2014

The FCA has today confirmed that new Disclosure Rules and Transparency Rules (DTRs) to report on payments to governments have entered into force. This follows an announcement on 12 December, which set out requirements under the Transparency Directive for issuers involved in the extractive or logging of primary forest industries to produce annual reports on payments made to the governments in the countries they operate in.
Two New Commercial Mortgage Backed Securities List On The Irish Stock Exchange

Date 22/12/2014

Deutsche Bank and Morgan Stanley last week listed commercial mortgage-backed security (CMBS) deals on the ISE.
CFTC Staff Issues Advisory And Time-Limited No-Action Position Regarding The CCO Annual Report

Date 22/12/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a staff advisory that provides guidance for chief compliance officers (CCO) of futures commission merchants, swap dealers and major swap participants (registrants) to comply with the requirement to prepare an annual report on the state of the registrant’s compliance program under Commission Regulation 3.3(e).
ESMA Publishes Initial Cost-Benefit-Analysis On MiFID II Proposals

Date 22/12/2014

The European Securities and Markets Authority (ESMA) today published a preliminary cost-benefit-analysis (CBA) in respect of regulatory and implementing technical standards it proposes for MiFID II.
CBOE And C2 Enter Into Agreements With FINRA Involving Regulatory Services

Date 22/12/2014

CBOE Holdings, Inc. (NASDAQ: CBOE) today announced that Chicago Board Options Exchange® (CBOE®) and C2 Options Exchange (C2) have entered into an agreement with the Financial Industry Regulatory Authority (FINRA), under which FINRA will perform the majority of the exchanges’ regulatory services.

ESMA Publishes Credit Rating Agencies' Market Share Calculations For 2014

Date 22/12/2014

The European Securities and Markets Authority (ESMA) has published its annual list of EU registered CRAs’ market share calculations for the purposes of Article 8d of the CRA Regulation.
Bank Of England: Record Of Financial Policy Committee Meetings Held On 8 And 15 December 2014

Date 22/12/2014

At its meetings on 8 and 15 December, the Financial Policy Committee made no new recommendations.
European Supervisory Authorities Tackle Cross-Selling Practices In The Financial Sector

Date 22/12/2014

The Joint Committee of the three European Supervisory Authorities (EBA, EIOPA and ESMA) published today a consultation paper on draft Guidelines for regulating cross-selling practices in the financial sector across the EU. These guidelines establish a coherent and effective approach in supervising firms that offer cross-selling options, so as to enhancing protection of EU customers. The consultation will run until 22 March 2015.
FINRA Bars Broker For Stealing $89,000 From An Elderly Customer

Date 22/12/2014

The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Jeffrey C. McClure from the securities industry for converting nearly $89,000 from an elderly customer's bank account while working for Wells Fargo Advisors, LLC and an affiliated bank in Chico, California. The affiliated bank has made the customer whole for her losses.
CFTC Orders Deutsche Bank Securities Inc. To Pay $3 Million To Settle Charges Of Improper Investment Of Customer Segregated Funds, Reporting And Recordkeeping Violations, And Supervision Failures

Date 22/12/2014

The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against Deutsche Bank Securities Inc. (DBSI), a registered Futures Commission Merchant (FCM) based in New York, N.Y., for failing to properly invest customer segregated funds, failing to prepare and file accurate financial reports, failing to maintain required books and records, and for related supervisory failures. None of the violations resulted in any customer losses, according to the CFTC’s Order. The Order requires DBSI to pay a $3 million civil monetary penalty and to cease and desist from violating the CFTC Regulations, as charged. DBSI is an indirect, wholly-owned subsidiary of the parent company, Deutsche Bank AG.