FTSE Mondo Visione Exchanges Index:
News Centre
-
CFTC Issues Guidance On Factors Used in Evaluating Corporate Compliance Programs In Connection With Enforcement Matters
Date 10/09/2020
The Commodity Futures Trading Commission today announced the issuance of new, public, staff-level guidance by the Division of Enforcement, which outlines factors that will be considered when evaluating compliance programs in connection with enforcement matters. The guidance, which will be published in the agency’s Enforcement Manual, is the first of its kind issued by the Division. It follows the recent update of the agency’s civil monetary penalty guidance, which was released in May. [See CFTC Press Release No. 8165-20]
-
UK Financial Conduct Authority Publishes Annual Report And Accounts 2019/20
Date 10/09/2020
The Financial Conduct Authority (FCA) has today published its Annual Report and Accounts, which looks back on the organisation’s key pieces of work throughout 2019/20.
-
IROC Publishes The Best Practices For Electronic Proceedings
Date 10/09/2020
Due to social distancing and other public health measures in response to COVID-19, IIROC inperson hearings were postponed or converted to electronic proceedings, either by telephone or videoconference. As the situation continues to evolve, the IIROC Hearing Committee remains committed to ensuring that proceedings are conducted in the public interest in a manner that is timely, fair and safe. This requires that hearings be conducted electronically until such time as inperson hearings become feasible.
-
EBA Issues Revised List Of ITS Validation Rules
Date 10/09/2020
The European Banking Authority (EBA) issued today a revised list of validation rules in its Implementing Technical Standards (ITS) on supervisory reporting, highlighting those, which have been deactivated either for incorrectness or for triggering IT problems. Competent Authorities throughout the EU are informed that data submitted in accordance with these ITS should not be formally validated against the set of deactivated rules.
-
Finansinspektionen: Decision Regarding The Countercyclical Buffer Rate
Date 10/09/2020
Finansinspektionen (FI) decided on 9 September not to change the countercyclical buffer rate. The buffer rate of 0 per cent, which was applied starting on 16 March 2020, shall thus continue to apply. The countercyclical buffer guide is set at 1.3 per cent.
-
Corporate CUSIP Request Volume Flattens In August, While Muni Volumes Slow - Second Straight Month Of Declining Municipal Identifier Request Volume
Date 10/09/2020
CUSIP Global Services (CGS) today announced the release of its CUSIP Issuance Trends Report for August 2020. The report, which tracks the issuance of new security identifiers as an early indicator of debt and capital markets activity over the next quarter, found a significant decline in request volume for new municipal debt identifiers, while requests for new corporate identifiers were roughly flat from last month to this month.
-
Matthew Alexander, Compliance Analyst At tether: A New Path To Financial Stability: How Stablecoins Promote Transparency And More Equitable Markets
Date 10/09/2020
As the brave new world of digital assets enters its second decade, the rapid growth of this once-nascent industry has put the focus on issues relating to financial stability. Rather than presenting new risks, Matthew Alexander argues that stablecoins have the potential to enhance global financial stability, including the stability of individual and household finances.
-
Euronext Announces Annual Review Results Of The CacĀ® Family Indices
Date 10/09/2020
Euronext today announced the results of the annual reweighting of the CAC® Family indices. The changes due to the review will be effective from Monday 21 September 2020.
-
tZERO Approved To Launch Retail Broker-Dealer Subsidiary
Date 10/09/2020
tZERO, a leader in financial innovation and liquidity for private companies, announced today that the Financial Industry Regulatory Authority (FINRA) has approved the membership application of tZERO Markets, a retail broker-dealer and wholly owned subsidiary of tZERO that is registered with the Securities and Exchange Commission (SEC). This approval allows tZERO Markets to offer its customers retail brokerage services for digital securities and provide issuers with investment banking and placement agent services in connection with capital raising activities.
-
TMX Group CEO John McKenzie To Present At The Barclays Global Financial Services Conference
Date 10/09/2020
TMX Group Chief Executive Officer John McKenzie will present at the Barclays Global Financial Services Conference on September 15, 2020.
- First
- Previous
- 6116
- 6117
- 6118
- 6119
- 6120
- 6121
- 6122
- 6123
- 6124
- 6125
- 6126
- 6127
- 6128
- 6129
- 6130
- 6131
- 6132
- Next
- Last