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  • FINRA Fines Merrill Lynch $1.4 Million For Supervisory Deficiencies Related To Extended Settlement Transactions

    Date 19/12/2017

    The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.4 million for failing to establish a reasonable supervisory system and procedures to identify and evaluate extended settlement transactions, and for related rule violations.

  • November 2017 Equities Liquidity Matrix From TABB Group

    Date 19/12/2017

    In November 2017, industry average daily volume increased 8 percent month-over-month, to 6.6 billion shares, the highest ADV in five months, as the VIX average close increased month-over-month, from 10.1 to 10.5. Meanwhile, off-exchange market share fell to 37.6% in November 2017, from a seven-year high of 38.8% in October. Every month, TABB Group’s Equities LiquidityMatrix™ provides the industry with metrics from 25 ATS/SDPs, including stock capitalization distribution, block and demi-block % (shares & notional), midpoint %, and inside NBBO %, as well as a breakdown of exchange market share.

  • Emirates REIT Debuts World’s Largest, Shariah Compliant REIT On Irish Stock Exchange

    Date 19/12/2017

    Emirates REIT (CEIC) Limited (Emirates REIT), has listed the world's largest, publically listed Shariah-compliant real estate investment trust, with its inaugural US$400 million issuance of 5 year trust certificates on the Main Securities Market (MSM) of the Irish Stock Exchange (ISE).

  • Strong Equity Trading Performance Makes Vienna Stock Exchange European Outlier In 2017

    Date 19/12/2017

    • Longest quotation list in the history of the Vienna Stock Exchange; record IPO was eighth-largest in the world
    • All-time high in tradable securities and trades executed on the Vienna SE
    • Equity turnover increased by 20% yoy
    • 80% of equity trading generated by international trading members

  • UK's Financial Conduct Authority Comment On Outcome Of LSE Extraordinary General Meeting

    Date 19/12/2017

    Commenting on the outcome of the London Stock Exchange Group's Extraordinary General Meeting, Andrew Bailey, Chief Executive of the Financial Conduct Authority said:

    The FCA has a statutory objective to ensure the integrity of the markets it regulates. Todays vote should now lead to an orderly process of succession of the CEO and then the Chair of the LSE as set out by the Board. It is important that everyone supports and contributes positively to that process.

  • ESMA Updates MIFID II Trading Halts Procedure

    Date 19/12/2017

    The European Securities and Markets Authority (ESMA) has published today a revised procedure and template to be used by national competent authorities (NCAs) for the purpose of reporting the parameters used by trading venues under their jurisdiction for halting trading in accordance with Article 48(5) of the Markets in Financial Instruments Directive (MiFID II). 

  • CFTC’s Office Of International Affairs To Host An International Regulators Meeting In Boca Raton Florida On March 13, 2018 - One Day Prior To The FIA International Futures Industry Conference

    Date 19/12/2017

    Event:

    Commodity Futures Trading Commission Annual Regulators Meeting – Boca Raton, Florida. This is a regulators only meeting. Only international financial markets regulators are invited to attend.

    When:

    March 13, 2018
    8:30 a.m. to 4:15 p.m.

    Where:

    Boca Raton Resort & Club, 501 East Camino Real, Boca Raton, Florida 33432

    Hosted By:

    U.S. Commodity Futures Trading Commission

    Event Details:

    The Annual Regulators Meeting will precede the FIA International Futures Industry Conference. Attendees will be senior level regulators from around the world. The program will address a number of current issues in our industry including risk management, technology, and challenges to intermediaries. Issues facing regulators will also be discussed including enforcement, compliance and cyber security. Experts from US regulators and industry will present these topics. We encourage regulators from diverse jurisdictions with markets at various levels of development to attend this symposium.

    Meeting Fee:

    There is no fee for this CFTC event; however, you must register for both the CFTC Event (see link below) and the FIA Event. This CFTC event is not associated with the FIA event.

    Registration for FIA’s International Futures Industry Conference in Boca on March 13-17, 2018 is through the FIA. Registration and fee information (discounted for regulators) can be found at:    https://boca2018.fia.org/

  • ESMA: Update On Bench Registers From 3 January 2018

    Date 19/12/2017

    The European Securities and Market Authority (ESMA) will publish a register of administrators and third country benchmarks, in accordance with Article 36 of the Benchmarks Regulation. ESMA will start publishing this list of Administrators and third country benchmarks as of 3 January 2018 (ESMA’s first working day of 2018). 

  • EBA Technical Standards Will Help Reduce Divergent Practices In The Application Of Simplified Obligations And Waivers In Recovery And Resolution Planning

    Date 19/12/2017

    The European Banking Authority (EBA) published today a Report on the application of simplified obligations and waivers in recovery and resolution planning and its final draft Regulatory Technical Standards (RTS) specifying the eligibility criteria to determine whether institutions could be subject to simplified obligations when drafting such plans. The Report shows that across the EU, significantly divergent practices apply. Differences have been identified both in the assessment of institutions' eligibility for simplified obligations, as well as in determining the reduced scope of the recovery and resolution planning requirements laid down in the Bank Recovery and Resolution Directive (BRRD). The RTS should help reduce some of the observed divergent practices by increasing harmonisation in simplified obligations eligibility assessment methodologies applied by national authorities. 

  • ESMA Publishes Translations For MiFID II Guidelines On The Management Body Of Market Operators And DRSPS

    Date 19/12/2017

    The European Securities and Markets Authority (ESMA) has issued today the official translations of its Guidelines on the management body of market operators and data reporting services providers under the Markets in Financial Instruments Directive (MiFID II).

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