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SEC Charges Nearly Two Dozen Unregistered Broker-Dealers

Date 26/03/2015

The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on behalf of a suburban Chicago-based trading firm without registering with the SEC as a broker-dealer as required under the federal securities laws.
Hong Kong's Securities And Futures Commission: Court Grants Order Compelling Attendance Of SFC Investigation Interview

Date 26/03/2015

The Securities and Futures Commission (SFC) today obtained an order in the Court of First Instance against Mr Joe Chong Wai Moon, compelling him to attend an interview with the SFC in relation to investigations after he repeatedly failed to do so as required.
Federal Reserve Survey Provides Information On Mobile Financial Services

Date 26/03/2015

The use of mobile phones to access bank accounts, credit cards, or other financial accounts continued to increase among adults in the United States last year, according to a Federal Reserve Board report, Consumers and Mobile Financial Services 2015. The report is the Board's fourth looking at how consumers access banking services using mobile phones ("mobile banking"), and their payments for goods and services using mobile phones ("mobile payments"), as well as their use of mobile phones to inform their shopping decisions.
Hong Kong's Securities And Futures Commission Welcomes U.S. CFTC Exemption For Hong Kong Brokers To Deal Directly With U.S. Customers

Date 26/03/2015

The Securities and Futures Commission (SFC) welcomes the issuance of an order by the U.S. Commodity Futures Trading Commission (CFTC) permitting SFC-licensed corporations to deal directly with U.S. customers in relation to trading of futures or options products on exchanges under the SFC’s oversight without having to register as futures brokers in the U.S.
Chi-X Canada Set To Launch Odd Lot Facility

Date 26/03/2015

Chi-X® Canada ATS Limited, a wholly owned subsidiary of alternative trading venue operator Chi-X® Global Holdings LLC, today released CX2’s Odd Lot Facility pricing schedule and confirmed its launch on Wednesday, April 1, 2015.

Hong Kong's Securities And Futures Commission Reprimands And Fines JS Cresvale Securities HK$2.5 Million

Date 26/03/2015

The Securities and Futures Commission (SFC) has reprimanded and fined JS Cresvale Securities International Limited (JS Cresvale Securities) HK$2.5 million over serious deficiencies in relation to its sale of two unlisted investment products involving US$99 million between 2008 and 2010.
Bank Of England: Financial Policy Committee Statement From Its Meeting, 24 March 2015

Date 26/03/2015

At its meeting on 24 March 2015, the Bank of England’s Financial Policy Committee (FPC) reviewed its assessment of risks to financial stability. Credit growth in the United Kingdom remains moderate and UK banks continue to build their resilience. Nonetheless, the Committee has identified a number of risks to financial stability and has commissioned work in relation to them.
HKEx Holds Listing Seminar In Shandong

Date 26/03/2015

Hong Kong Exchanges and Clearing Limited (HKEx) held a seminar in Jinan, the capital city of Shandong province, today (Thursday) with the Finance Office of Shandong Province and InvestHK to explain the benefits of listing in Hong Kong.
UK's Financial Conduct Authority Consults On 2015/16 Fees For Regulated Firms

Date 26/03/2015

The Financial Conduct Authority (FCA) is consulting on fees for regulated firms for the 2015/16 financial year. These fees are used to cover the cost of the FCA’s regulatory activities, with fees for individual firms based on the areas of business they undertake.
The Financial Services Sector As An Instrument For Growth, Jonathan Hill, Member Of The European Commission, Responsible For Financial Stability, Financial Services And Capital Markets Union, 13th Annual EU Financial Services Conference: "A New Direction For Financial Services"

Date 26/03/2015

Good morning ladies and gentlemen. It's a great pleasure to be here and to have the chance to take part in a conference that has become a familiar part of the financial services landscape.