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  • SEC: Daniel Kahl Named Deputy Director Of The Office Of Compliance Inspections And Examinations

    Date 18/12/2018

    The Securities and Exchange Commission today announced that Daniel Kahl has been named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE). Mr. Kahl has been with the SEC for over 17 years, serving as OCIE’s Chief Counsel since February 2016. He will continue to serve as Chief Counsel while also assuming this additional leadership role in OCIE. As a Deputy Director, Mr. Kahl will be based in Washington, D.C. and, together with current Deputy Director Kristin Snyder, will oversee many of OCIE’s strategic initiatives, as well as advise OCIE’s leadership on legal, strategic, and policy matters regarding the agency’s National Exam Program. 

  • MIAX Options & MIAX PEARL - Christmas And New Year's Holiday Schedule

    Date 18/12/2018

    Please be advised the MIAX Options Exchange will have an abbreviated trading session on Monday, December 24, 2018.  All Option Classes will close 3 hours early.

  • EBA Launches Consultation To Amend Regulation On Benchmarking Of Internal Models

    Date 18/12/2018

    The European Banking Authority (EBA) launched today a consultation to amend the Commission's Implementing Regulation on benchmarking of internal models to adjust the benchmarking portfolios and reporting requirements in view of the benchmarking exercise it will carry out in 2020. The proposed changes aim at simplifying the portfolio's structure for the credit risk part of the exercise, and getting more insights into the model used for pricing for the market risk part of the exercise. The consultation will run until 31st January 2019.

  • ESMA Updates Its Q&As Regarding The Benchmark Regulation

    Date 18/12/2018

    The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers (Q&As) on the Benchmarks Regulation (BMR).

  • New York State Department Of Financial Services Fines Barclays Bank Plc And New York Branch $15 Million Following Whistleblower Investigation - DFS Investigation Found Shortcomings In Barclays’ Governance, Controls And Corporate Culture Relating To The Bank’s Whistleblowing Function After CEO Personally Sought To Identify Whistleblowers

    Date 18/12/2018

    Financial Services Superintendent Maria T. Vullo today announced that the Department of Financial Services (DFS) has fined Barclays Bank PLC and its New York branch $15 million for violations of New York Banking Law stemming from a DFS investigation into attempts by the bank’s CEO to identify the author(s) of two whistleblowing letters in contravention of Barclays’ established whistleblowing policies and procedures.  The DFS investigation found that shortcomings in governance, controls and corporate culture relating to Barclays’ whistleblowing function permitted a sequence of events that potentially could have had a detrimental impact on the efficacy of Barclays’ whistleblowing program.  Several members of senior management failed to follow or apply whistleblowing policies and procedures in a manner that protected the CEO and the bank itself.  Limited gaps in the bank’s whistleblowing policies and procedures became apparent during the investigation, and it appears that the cultural transformation that Barclay’s Group Compliance had been working hard to instill in the more than one hundred thousand Barclays employees worldwide, was not nearly complete.

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