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  • Nasdaq Stockholm Orders Skandinaviska Enskilda Banken To Pay A Fine Corresponding To One Annual Fee

    Date 14/07/2017

    The Disciplinary Committee of Nasdaq Stockholm has found that Skandinaviska Enskilda Banken AB (“SEB”) has breached Nasdaq Stockholm’s Rule Book for Issuers (“the Rule Book”) and, accordingly, has ordered SEB to pay a fine of one annual fee, corresponding to an amount of SEK 3,105,000.

  • Sweden's Finansinspektionen: Decision Regarding The Countercyclical Buffer Rate

    Date 14/07/2017

    FI decided on 14 July not to change the countercyclical buffer rate. The buffer rate of two per cent, which has applied since 19 March 2017, shall thus continue to apply.

  • SIX Exchange Regulation Reaches An Agreement With Perfect Holding SA

    Date 14/07/2017

    SIX Exchange Regulation has reached an agreement with Perfect Holding SA in connection with a breach of the accounting standards (IFRS) in the 2016 interim financial statements. The identified deficiency relates to the translation of goodwill arising from the acquisition of a foreign operation. As part of the agreement, the company has committed itself to correct the error in both the 2017 interim and annual financial statements and to make a payment of CHF 5,000 to the IFRS- Foundation.

  • SIFMA Testimony At House Subcommittee DOL Fiduciary Rule Hearing

    Date 14/07/2017

    Today, Jerry Lombard, President of Janney Montgomery Scott LLC's Private Client Group gave the following oral statement on behalf of SIFMA before the House Committee on Financial Services Subcommittee on Capital Markets, Securities, and Investment in a hearing entitled "Impact of the DOL Fiduciary Rule on the Capital Markets," with the full written testimony submitted for the record:   

    Chairman Huizenga, Ranking Member Maloney, and distinguished members of the Subcommittee, I am Jerry Lombard, the President of the Private Client Group at Janney Montgomery Scott, LLC.  I greatly appreciate the opportunity to testify today on behalf of the Securities Industry and Financial Markets Association (SIFMA) and share our perspective on the best path forward to establish a best interest standard for the broker dealer industry. We are grateful for this Committee's willingness to consider legislation that would allow the Securities and Exchange Commission (SEC) to establish a best interest standard for broker dealers that would create a high standard of care for retail customers across all accounts. 

  • FIA June 2017 SEF Tracker

    Date 13/07/2017

    Total trading volume on SEFs averaged $716.0 billion in notional value per day during the month of June, up 33.8% from the previous month and up 24.9% from June 2016. The increase in trading volume was driven mainly by a jump in on-SEF trading of interest rate swaps, which was up 36.7% from May 2017 and 28.6% from June 2016. 

     Overview Dashboard: a high-level view of monthly volume trends and year-to-date SEF market share.