News Centre

SEC Awards Almost $4 Million To Overseas Whistleblower

Date 24/09/2018

The Securities and Exchange Commission today announced that it has awarded nearly $4 million to an overseas whistleblower whose tip led it to open an investigation and whose extensive assistance helped it bring a successful enforcement action. 

EBA Launches Its 2018 EU-Wide Transparency Exercise

Date 24/09/2018

The European Banking Authority (EBA) launched today its fifth annual EU-wide transparency exercise. In December 2018, together with the Risk Assessment Report (RAR), the EBA will release over 900000 data points on about 130 EU banks. The data will cover capital positions, risk exposure amounts, sovereign exposures and asset quality. This data disclosure, which provides the wider public with a consistent tool to access data on the EU banking system, is an important component of the EBA's responsibility to monitor risks and vulnerabilities and foster market discipline.

FESE Feedback To FSB On LEI Implementation

Date 24/09/2018

Following the financial crisis, improvements to the reporting and supervision of financial transactions were necessary and the G20 endorsement of the LEI system was part of measures taken with this objective in mind.  FESE fully supports the idea of the global LEI system and its members are committed to encourage firms to obtain LEIs, to promote transparency of the global financial system and facilitate regulatory supervision.

Nasdaq Stockholm Orders Invuo Technologies To Pay A Fine Corresponding To Seven Annual Fees

Date 24/09/2018

The Disciplinary Committee of Nasdaq Stockholm has found that Invuo Technologies AB  (“Invuo” or the “Company”) has breached the Nasdaq Stockholm’s Rule Book for Issuers (the “Rule Book”) and, accordingly, imposed a fine on Invuo amounting to seven annual fees, corresponding to an amount of SEK 1,435,000.

Thomson Reuters Continues To Set The Standard For Know Your Customer (KYC) Managed Services, Surpassing 400,000 KYC Records - Milestone Demonstrates Market Confidence In KYC As A Service And Its Capacity To Reduce The Time And Costs Associated With Client Onboarding For Global Financial Institutions

Date 24/09/2018

The Financial & Risk business of Thomson Reuters continues to set the standard for KYC due diligence with the news that it has surpassed 400,000 KYC records actively managed on behalf of financial institutions. This important milestone demonstrates KYC as a Service’s ability to deliver a scalable and efficient model that supports financial institutions in addressing industry wide KYC challenges, including the growing book of regulatory obligations.

My Beef With Stakeholders: Remarks By Commissioner Hester M. Peirce At The 17th Annual SEC Conference, Center For Corporate Reporting And Governance

Date 24/09/2018

Good morning and thank you, Fram, for the kind introduction.  Before I begin my remarks, I have to give my standard disclaimer, which is that my remarks reflect only my own views and not those of the Commission or my fellow Commissioners.

BlackRock Partners With Thomson Reuters To Launch Industry’s First Inclusion & Diversity Fund

Date 24/09/2018

BlackRock has collaborated with Thomson Reuters to launch an exchange traded fund (ETF) to provide investors with a way to invest in companies across developed and emerging markets that promote diversity and inclusion practices, which have been shown to benefit companies’ long-term performance.

Integral Appoints Gavin Bambury As Chief Technology Officer - Gavin Bambury, Leading Technologist At Ion Trading, Deutsche Bank And Citigroup, To Expand Integral’s Leadership Position In FX Market

Date 24/09/2018

Integral (www.integral.com), the technology partner trusted by leading banks, brokers, and asset managers to help them outperform their competition in the foreign exchange market, today announced the appointment of ex-ION Trading CEO Gavin Bambury as its Chief Technology Officer (CTO).

Kate Birchall Appointed Head Of Asia Pacific, LCH Ltd

Date 24/09/2018

• Responsible for LCH’s business in the region, supporting LCH’s continued expansion in APAC
• Marcus Robinson assumes role as LCH Head of Group Business Development

ESMA Monitors Volatility In Financial Markets

Date 24/09/2018

The European Securities and Markets Authorities (ESMA) has published an article setting out the details of its analysis of volatility in financial markets.