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News Centre
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ESAs Are Recruiting Heads Of Unit For Their DORA Joint Oversight Team
Date 20/12/2024
The European Supervisory Authorities (EBA, EIOPA and ESMA - ESAs) today kicked off a joint recruitment process for Heads of Unit (AD9) in the Joint Oversight team that was set up to carry out the oversight of the Information and Communication Technology Critical Third-Party Providers (CTPPs) under the Digital Operational Resilience Act (DORA).
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SEC Files Settled Charges Against Multiple Entities For Failing To Timely File Forms D In Connection With Securities Offerings
Date 20/12/2024
The Securities and Exchange Commission today announced charges against two private companies and one registered investment adviser for failing to timely file Forms D for several unregistered securities offerings in violation of Rule 503 of Regulation D.
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ESMA Publishes Feedback Received To Proposed Review Of Securitisation Disclosure Templates
Date 20/12/2024
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today published a Feedback Statement summarising the responses it received to its Consultation Paper (CP) on the securitisation disclosure templates under the Securitisation Regulation (SECR).
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SEC Charges Silver Point Capital With Policy Failures Regarding Receipt Of Material Nonpublic Information About Bonds Issued By Puerto Rico
Date 20/12/2024
The Securities and Exchange Commission today charged registered investment adviser Silver Point Capital L.P. with failing to establish, implement, and enforce written policies and procedures reasonably designed to prevent the misuse of material nonpublic information (MNPI) relating to its participation on creditors’ committees.
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Bio-Inox Lists On Euronext Access
Date 20/12/2024
- Market capitalisation of €6 million
- 51st listing on Euronext in 2024
- 12th listing on Euronext Paris in 2024
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SEC: Deutsche Bank Subsidiary To Pay $4 Million For Untimely Filing Certain Suspicious Activity Reports
Date 20/12/2024
The Securities and Exchange Commission today charged registered broker-dealer Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, for failing to file certain Suspicious Activity Reports (SARs) in a timely manner. Deutsche Bank Securities has agreed to pay a $4 million civil penalty to settle the SEC’s charges.
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Energy Revolution Ventures Closes Fund I Targeting Electrification - Fund Targets Early-Stage Deep Tech To Rewire Our Economy
Date 20/12/2024
Energy Revolution Ventures, an energy tech venture capital firm targeting the multi-trillion dollar opportunity in electrification, has closed an $18 million USD seed and series A fund focused on breakthrough deeptech. The fund invests in highly scalable technologies with outsized financial prospects, solving the hardest problems in energy across energy storage, carbon capture, utilisation and storage, and the renewable fuels and hydrogen value chain. The goal is to back category-defining innovators which will completely transform the way we produce, distribute and consume power.
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ACER Proposes Electricity Grid Connection Network Code Amendments To The European Commission
Date 20/12/2024
Today, ACER has submitted to the European Commission its Recommendation to amend the HVDC Network Code, which sets binding rules for connecting high-voltage direct current (HVDC) systems and direct current (DC) connected ‘power park modules’ to the grid.
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Wells Fargo And LPL Financial Charged For Submitting Deficient Trading Data To SEC - Wells Fargo’s Penalty Amount Reflects That It Self-Reported Its Misconduct
Date 20/12/2024
The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. Wells Fargo and LPL each agreed to pay a $900,000 civil penalty to resolve the SEC's charges.
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The EBA Responds To A Law Firm On The Treatment Of Some Legacy Instruments Of Banque Fédérative du Crédit Mutuel
Date 20/12/2024
The European Banking Authority (EBA) published today a response to the letter received from a law firm on 18 June 2024, regarding the intention of Banque Fédérative du Crédit Mutuel (BFCM), based in France, to keep some legacy instruments in its balance sheet without any regulatory value.
