News Centre

SEC Charges Financial Adviser With Stealing From Client Accounts

Date 03/02/2017

The Securities and Exchange Commission today charged an investment adviser representative with stealing approximately $5 million from client accounts by initiating unauthorized wire transfers and issuing checks to third parties to cover personal expenses.

MIAX PEARL Options Regulatory Fee Rule Filing

Date 03/02/2017

MIAX PEARL has filed with the Securities and Exchange Commission to implement an Options Regulatory Fee (“ORF”) of $0.0010 per contract at the commencement of trading on Monday, February 6, 2017. See SR-PEARL-2017-09.

FIA Issues Statement On Regulatory Review Announced By White House

Date 03/02/2017

In response to the executive order issued today by the White House that directed the Treasury Secretary to conduct a 120-day review of financial system regulation, FIA released the following statement from FIA President and CEO Walt Lukken:

"We applaud the President's call to launch a comprehensive review of the laws and regulations governing the financial system. As we said in our letter on Jan. 25, now is the time to review and simplify the regulations put in place following the financial crisis and determine whether these regulations are in fact meeting their public objectives. FIA supports thoughtful regulations that protect investors and promote safe and healthy markets. We look forward to providing stakeholder input into the review process."

CFTC Commitments Of Traders Reports Update

Date 03/02/2017

The current reports for the week of January 31, 2017 are now available.

33rd Annual CBOE Risk Management Conference U.S. 2017 - Leading Institutional Derivatives, Volatility Traders To Meet In Dana Point, California, March 8 – 10

Date 03/02/2017

Chicago Board Options Exchange® (CBOE®) will host the 33rd annual CBOE Risk Management Conference (RMC) U.S. from Wednesday, March 8 through Friday, March 10, 2017, at the Monarch Beach Resort in Dana Point, California.    

ESMA Publishes Practical Guide To National Rules Across EEA On Major Holdings Notifications Under Transparency Directive

Date 03/02/2017

The European Securities and Markets Authority (ESMA) has published a Practical Guide to national rules across the European Economic Area (EEA) on major holdings notifications under the Transparency Directive to help market participants navigate the different requirements.

CME Group Chairman And Chief Executive Officer And Chief Financial Officer To Present At Credit Suisse Conference

Date 03/02/2017

CME Group announced today that Chairman and Chief Executive Officer Terry Duffy and Chief Financial Officer John Pietrowicz will present at the Credit Suisse 18th Annual Financial Services Forum, on Tuesday, February 7 at 9:30 a.m. Eastern Time.

ESMA Publishes 2017 Supervision Plan For CRAs, Trade Repositories And 3rd Country CCPs

Date 03/02/2017

The European Securities and Markets Authority (ESMA) has today published its Annual Report and Supervision Work Programmes(Report) setting out its main areas of supervisory focus for credit rating agencies (CRAs), trade repositories (TRs), and third country central counterparties (CCPs) in the European Union (EU). The Report also details the actions ESMA has taken in 2016 in carrying out its supervisory role.

FESE Response To ESMA Consultation On Package Transactions

Date 03/02/2017

In its response, FESE argues that the proposal by ESMA would result in a more restrictive pre-trade transparency regime for package orders than for individual transactions. The proposed approach would result in the vast majority of exchange traded derivatives packages being determined as liquid, meaning the waiver could not be applied to them. Furthermore, the proposed methodology concentrates on characteristics of individual components of the package rather than assessing the package as a whole.

Nigerian Stock Exchange Weekly Report For 3 February 2017

Date 03/02/2017

A total turnover of 1.153 billion shares worth N8.032 billion in 12,783 deals were traded this week by investors on the floor of the Exchange in contrast to a total of 990.584 million shares valued at N18.823 billion that exchanged hands last week in 14,917 deals.