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Statement From Enforcement Division Co-Directors On Jury Verdict In Financial Fraud Case, Stephanie Avakian, Co-Director, SEC Division Of Enforcement, Steven Peikin, Co-Director, SEC Division Of Enforcement

Date 11/12/2017

"We are pleased by the jury's verdict holding Revolutions Medical Corp. and its CEO Rondald L. Wheet liable for violating the antifraud provisions of the federal securities laws. This verdict affirms that corporate executives must be completely truthful when they speak about their companies in press releases. Investors are entitled to accurate information, and when CEOs cross the line from truth to lies, we will seek to hold them accountable."
SEC: Stock Trader Charged In Insider Trading Ring

Date 11/12/2017

The Securities and Exchange Commission today charged a former day trader with making more than $1 million in illegal insider trading profits as part of a ring that allegedly stole confidential information from investment banks and clients so they could trade in advance of secondary stock offerings.
Geopolitical Risk Surges To Record High In New DTCC Survey - Fintech’s Potential Impact On Financial Stability Emerges As A New Area Of Concern For 2018.

Date 11/12/2017

Geopolitical uncertainties in Asia, as well as prolonged uncertainties associated with Brexit negotiations, have positioned geopolitical risk as a top risk to watch in 2018, according to a new survey published by The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry.
Company Halts ICO After SEC Raises Registration Concerns

Date 11/12/2017

A California-based company selling digital tokens to investors to raise capital for its blockchain-based food review service halted its initial coin offering (ICO) after being contacted by the Securities and Exchange Commission, and agreed to an order in which the Commission found that its conduct constituted unregistered securities offers and sales.
CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading Advisor Registration Requirements Resulting from The European Union’s MiFID II Research Compensation Provisions For Investment Managers

Date 11/12/2017

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued interpretative guidance providing that a futures commission merchant (FCM), swap dealer (SD), or introducing broker (IB) that receives separate compensation for commodity trading advice is not required to register as a commodity trading advisor, provided that the offered advice is “solely incidental” to the conduct of the FCM’s or SD’s business, or “solely in connection with” the operation of the IB’s business.

MOEX Introduces New Analytical Product

Date 11/12/2017

Moscow Exchange announces the start of a trial offering of a new analytical product, Value Added Analytical Product. The new product is intended for domestic and international institutional investors, and can be used as an additional tool for analysis of financial instruments traded on MOEX.
EBA Publishes Final Draft Technical Standards On Central Contact Points Under PSD2

Date 11/12/2017

The European Banking Authority (EBA) published today its final draft Regulatory Technical Standards (RTS) on Central Contact Points under the revised Payment Services Directive (PSD2). The RTS specify the criteria for determining when the appointment of a central contact point in a host Member State (MS) is appropriate and the functions that these contact points should fulfill. These RTS are in support of the objective of PSD2 of facilitating the supervision by competent authorities (CAs) of the networks of agents used by payment institutions (PIs) and electronic money institutions (EMIs) for providing cross-border payment services under the right of establishment.
Federal Reserve Board Requests Comment On Proposed Changes To The Payment System Risk Policy

Date 11/12/2017

The Federal Reserve Board on Monday requested public comment on proposed policy changes to procedures governing the provision of intraday credit to U.S. branches and agencies of foreign banking organizations (FBOs). The changes are intended to refine the methods for determining the level of intraday credit that these branches and agencies can receive from the Federal Reserve Banks.
BME: Student Properties Spain SOCIMI Receives Favourable Report From MAB

Date 11/12/2017

The Coordination and Admissions Committee of the Mercado Alternativo Bursátil (MAB) has submitted to the Board of Directors a favourable report on STUDENT PROPERTIES SPAINSOCIMI, stating that the company is eligible for admission to the market following a review of all the information presented by the company.
UBS MTF Market Notice AccountType And ExecID Reminder

Date 11/12/2017

As announced in UBS MTF Market Notice N14 dated 22 November 2017, two technical changes will be implemented in Production tomorrow after market close. From Wednesday 13 December 2017:
- Members will be required to submit a value for House or Client in the FIX field AccountType (tag 581). Orders with no value in AccountType will be rejected.
- UBS MTF will issue a new execution identifier (FIX tag 17 ExecID).