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SEC Charges Two Robo-Advisers With False Disclosures

Date 21/12/2018

The Securities and Exchange Commission today instituted settled proceedings against two robo-advisers for making false statements about investment products and publishing misleading advertising. The proceedings are the SEC’s first enforcement actions against robo-advisers, which provide automated, software-based portfolio management services.
Deutsche Börse: Court Closes Proceedings

Date 21/12/2018

The District Court of Frankfurt am Main has today issued a fine order against Deutsche Börse AG as an ancillary party after the termination of the preliminary investigation against its former CEO, Carsten Kengeter. The decision provides for fines of EUR 5 million and EUR 5.5 million against Deutsche Börse AG for an alleged breach of the insider trading ban in December 2015 and for an alleged omission of an ad hoc announcement in January 2016.
Borsa İstanbul Announces The Constituent Changes To The BIST Equity Indices For The First Quarter Of 2019

Date 21/12/2018

All changes will be applied after the close of business on Monday, December 31, 2018 and will be effective on Wednesday, January 2, 2019.
CFTC Commitments Of Traders Reports Update

Date 21/12/2018

Since December 25, 2018 and January 1, 2019 (both Federal Holidays) are on Tuesday, the next two releases of Commitment of Traders will use Monday data while the publication date will be Friday as usual.
OCC AA+/Stable Rating Reaffirmed By S&P

Date 21/12/2018

OCC, the world's largest equity derivatives clearing organization, today commented on the reaffirmation of its AA+/Stable rating by Standard & Poor's (S&P), which was published on Thursday, December 20.

CFTC: Federal Court Orders Forex Trading Firm And Its Principal To Pay More Than $1.6 Million For Fraudulent Forex Pool Scheme

Date 21/12/2018

The Commodity Futures Trading Commission (CFTC) announced today that on December 7, a federal court ordered New York firm Wright Time Capital Group LLC (d/b/a Global FX Club) (WTCG) to pay more than $1.48 million in civil monetary penalties and restitution in connection with an enforcement action brought by the CFTC charging the defendants with fraudulent solicitation and misappropriation involving a forex pool.
EBA Publishes Response To Letter Received On Reclassification Of Grandfathered Own Funds Instruments

Date 21/12/2018

The European Banking Authority (EBA) published today a response to a letter it had received from a law firm regarding the case of a reclassification by an institution of some specific grandfathered own funds instruments. The EBA also addressed this issue through its Q&A process. In particular, Q&A 2018_4417 (Own funds - Reclassification of own funds instruments from a grandfathered category to a fully eligible category and purpose of grandfathering provision ), clarifies in more general terms the appropriate prudential treatment for such cases.
Report From FINRA Board Of Governors Meeting – December 2018 - Board Approves Rule Proposals, Reviews 2019 Budget And Appoints New Public Governor

Date 21/12/2018

FINRA’s Board of Governors met on Dec. 12-13 at FINRA’s offices in New York, where it approved two rule proposals—both related to the dispute resolution forum—and approved the organization’s 2019 budget.
BME: Arrienda Rental Properties SOCIMI Receives Favourable Report From MAB

Date 21/12/2018

The Coordination and Admissions Committee of the Mercado Alternativo Bursátil (MAB) has submitted to the Board of Directors a favourable report on ARRIENDA RENTAL PROPERTIES SOCIMI, following a thorough review of all the information presented by the company.
OCC Clears More Than 5 Billion Options Contracts In 2018

Date 21/12/2018

OCC, the world's largest equity derivatives clearing organization,today said its total cleared options contract volume on behalf of the U.S. equity options and futures industry has exceeded 5 billion for the year, a new record. OCC has cleared 5.01 options contracts year-to-date, surpassing the previous record of 4.56 billion cleared options contracts, set in 2011. The new industry volume record will be finalized at year-end, since 6 business days remain in 2018.