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  • FINRA Appoints Bill St. Louis Executive Vice President Of National Cause And Financial Crimes Detection Program

    Date 07/12/2021

    FINRA announced today that it has appointed Bill St. Louis to Executive Vice President and Head of its National Cause and Financial Crimes Detection Program (NCFC). St. Louis, currently Senior Vice President and Firm Group Leader in FINRA’s Member Supervision department, will begin his new role on December 13 and report to Greg Ruppert, Executive Vice President and Head of Member Supervision. St. Louis will succeed Ruppert, who previously led the NCFC.


  • Finansinspektionen Analysis 35: Lender Significance For Repayment Problems And Debt At The Swedish Enforcement Authority

    Date 07/12/2021

    There are different types of lenders. They offer different types of loans, and their risk tolerance varies. The risk tolerance is evident in their business model, which consists in part of how they conduct their credit assessment. There are also different types of borrowers. Some want small loans, and others want big loans. Both the lender’s credit assessment and the borrower’s repayment capacity are often better for large loans. The small loans represent a large share of early repayment problems – reminders and collection notices. But the borrower can often pay back small loans before they are registered with the Swedish Enforcement Authority.

  • Moscow Exchange: Risk Parameters Change For The Security AZO-RM

    Date 07/12/2021

    As per the Securities market risk parameters methodology, on 07.12.2021, 19-19 (MSK) the upper bound of the price band (up to 153210) and initial margins (up to 17.5 %) for the security AZO-RM were changed. New values are available here

  • SEC Issues Whistleblower Nearly $5 Million Award

    Date 07/12/2021

    The Securities and Exchange Commission (SEC) today announced an award of nearly $5 million to a whistleblower who provided critical information and assistance that led to the success of a covered action. The whistleblower’s information helped the SEC to more quickly and efficiently bring an action that returned millions of dollars to harmed investors. 

  • Moscow Exchange: Risk Parameters Change For The Security PKI-RM

    Date 07/12/2021

    As per the Securities market risk parameters methodology, on 07.12.2021, 18-04 (MSK) the upper bound of the price band (up to 14600) and initial margins (up to 18.75 %) for the security PKI-RM were changed.