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Cboe Welcomes New iShares Fund To ETF Marketplace

Date 09/11/2017

Cboe Global Markets, Inc. (Cboe: CBOE | Nasdaq: CBOE), one of the world’s largest exchange holding companies, today welcomed a new iShares fund to the Cboe ETF Marketplace.
Reflections On The Past, Present, And Future Of The SEC’s Enforcement Of The Foreign Corrupt Practices Act – Speech By Steven R. Peikin, SEC Co-Director, Enforcement Division - New York University School Of Law, New York, NY

Date 09/11/2017

Good afternoon, and thank you for inviting me to speak today. Before I begin, let me give the required disclaimer that the views I express here today are my own and do not necessarily represent the views of the Commission or its staff.[1]
EBA Publishes An Opinion And Report On Regulatory Perimeter Issues Relating To The CRDIV/CRR

Date 09/11/2017

The European Banking Authority (EBA) published today an Opinion addressed to the European Parliament, Council and European Commission, on matters relating to the regulatory perimeter under the Capital Requirements Directive/Regulation (CRDIV/CRR). These include the use of Articles 2(5) and 9(2) CRDIV and the interpretation of the terms 'financial institution' and 'ancillary services undertaking' as defined in the CRR. The Opinion is based on the results of a detailed assessment across the EU of the prudential treatment of 'other financial intermediaries' (OFIs), i.e. those entities carrying out credit intermediation activities that are not credit institutions nor other specified types of financial entity. The results of this assessment are included in a Report also published today.‎ The EBA's findings are relevant to the consideration of the legislative proposals to amend the CRDIV/CRR.
MIAX Options & MIAX PEARL - Mandatory Usage Of Member Firm Portal For Manual Symbol Assignments: February 9, 2018

Date 09/11/2017

As previously announced in the MIAX October 23, 2017 Alert, MIAX introduced Member Firm Portal (MFP) functionality to allow MIAX Market Makers to make manual option class symbol assignments.
EBA Launches Consultation On Technical Standards Specifying The Methods Of Prudential Consolidation

Date 09/11/2017

The European Banking Authority (EBA) launched today a consultation on draft Regulatory Technical Standards (RTS) specifying the different methods of prudential consolidation, which can be applied when certain conditions and criteria are met. The aim of these draft RTS is to ensure that the appropriate method of prudential consolidation is applied for the calculation of the Capital Requirements Regulation (CRR) requirements on a consolidated basis. The consultation runs until 09 February 2018.

FINRA Hearing Panel Bars Broker For Defrauding Elderly, Blind Customer

Date 09/11/2017

The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA extended hearing panel barred broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessively trading the accounts of his customer –a blind, elderly widow –and for making unsuitable recommendations. The hearing panel also ordered Werner to pay more than $155,000 in restitution to the widow, fined him $80,000 and ordered disgorgement of more than $10,000 representing commissions received for recommending the purchase of an unsuitable variable annuity. The decision resolves charges brought by FINRA's Department of Enforcement in August 2016.
SIFMA Fixed-Income Market Close Recommendations In The U.S., The U.K. And Japan For Thanksgiving Day

Date 09/11/2017

SIFMA confirmed its previous recommendations for the U.S., the U.K., and Japan in observance of the U.S. Thanksgiving Day and the Japan Labor Thanksgiving Day Holidays.
Nasdaq Wins RiskTech100® Best Operational Risk & GRC Category - Awarded By Chartis Research, The Accolade Spotlights The Major Players In Risk Technology

Date 09/11/2017

Nasdaq, Inc. (Nasdaq:NDAQ), one of the world's leading Governance, Risk management and Compliance (GRC) solution providers, has won the Best Operational Risk & GRC provider at the RiskTech100® 2018 awards.
DIFC And Paris EUROPLACE Renew Collaboration

Date 09/11/2017

Dubai International Financial Centre (DIFC), the leading international financial hub in the Middle East, Africa and South Asia (MEASA) region and Paris Europlace the professional body which promotes Paris as an international financial centre, have signed an updated Memorandum of Understanding (MoU) to foster collaboration between the two centres. The MoU was signed by the Chief Executive Officer of DIFC Authority, Arif Amiri and Arnaud de BRESSON, Chief Executive Officer, Paris EUROPLACE in the occasion of the official visit of the French President, Emmanuel Macron in Dubai.
SIFMA Statement On Completion Of Quantum Dawn IV Cybersecurity Exercise

Date 09/11/2017

SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, upon completion of SIFMA’s November 7-8 industry-wide Quantum Dawn IV cybersecurity exercise. Over 900 participants from over 50 financial institutions, government agencies and regulators participated in this simulation of a large-scale cyberattack on the financial markets. A fact sheet with details on Quantum Dawn IV is available here.