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  • ESMA Updates Guidance On Waivers From Pre-Trade Transparency

    Date 23/12/2020

    The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, published today an updated opinion providing guidance on pre-trade transparency waivers for equity and non-equity instruments. It covers guidance related to request for quote systems, guidance on how trading venues should apply for a waiver to their national competent authority, and updates on frequently encountered issues when assessing waiver notifications.

  • FEAS Newsletter: December 2020

    Date 23/12/2020

    What's Inside?

    Page 2-3: FEAS General Assembly and Working Committee Meeting |
    2 New Members
    Page 4: Training | How to Start CCP Business
    Page 5: FEAS Factsheet: Exchanges and Depositories
    Page 6: FEAS Champions League Award 2020
    Page 7: FEAS Members' Marketing and PR Professionals Meeting |
    Partner Events
    Page 8: FEAS Talks Series: 10 New Interviews | 1 Blogpost
    Page 9: Recent trending posts on social media

  • Hong Kong Securities And Futures Commission Issues Restriction Notice To A Broker To Freeze Client Accounts Linked To Suspected Market Manipulation

    Date 23/12/2020

    The Securities and Futures Commission (SFC) has issued a restriction notice to CNI Securities Group Limited (CNI), prohibiting it from dealing with or processing certain assets held in three client accounts, which are related to suspected market manipulation in the shares of a company listed on The Stock Exchange of Hong Kong Limited.

  • EBA Publishes Final Technical Standards On Reporting Of MREL Decisions From Authorities To EBA

    Date 23/12/2020

    The European Banking Authority (EBA) published today its final draft Implementing Technical Standards (ITS) specifying uniform reporting templates, instructions and methodology for the identification and transmission, by resolution authorities to the EBA, of information on minimum requirements for own funds and eligible liabilities (MREL). These standards are part of the EBA's major programme of work to implement the BRRD and address the problem of too-big-to-fail banks.

  • Hong Kong Securities And Futures Commission Reprimands And Fines Fulbright Securities Limited $3.6 Million

    Date 23/12/2020

    The Securities and Futures Commission (SFC) has reprimanded Fulbright Securities Limited (Fulbright) and fined it $3.6 million for internal control failures relating to short selling and for failing to report related short selling incidents to the SFC in a timely manner as required by the SFC’s Code of Conduct.