News Centre

Chief Operating Officer Jeffery Heslop To Leave SEC

Date 27/01/2017

The Securities and Exchange Commission today announced SEC Chief Operating Officer Jeffery Heslop will leave the agency in February.

CFTC Acting Chairman Giancarlo Announces Amir Zaidi As Director Of The Division Of Market Oversight - Acting Chairman Also Appoints Vincent McGonagle As Acting Director Of The Division Of Enforcement, Jeffrey Bandman To Be Advisor On FinTech, And John Lawton As Acting Director Of The Division Of Clearing And Risk

Date 27/01/2017

U.S. Commodity Futures Trading Commission (CFTC or Commission) Acting Chairman J. Christopher Giancarlo today announced several staff changes at the Commission. Giancarlo has appointed Amir Zaidi to lead the Division of Market Oversight (DMO). Further, the Acting Chairman appointed Vincent McGonagle as the Acting Director for the Division of Enforcement (DOE). In addition, Jeffrey Bandman will step down from his role as Acting Director of the Division of Clearing and Risk (DCR) to become an advisor on issues related to Financial Technology (FinTech). John Lawton, a 36-year employee of the Commission, has taken over as Acting Director of DCR.

Office Of The Comptroller Of The Currency Bulletin: Civil Money Penalties: Final Rule Adjusting Civil Money Penalties For Inflation

Date 27/01/2017

Summary

On January 27, 2017, the Office of the Comptroller of the Currency (OCC) published in the Federal Register the attached final rule amending its rules of practice and procedure for national banks (12 CFR 19) and federal savings associations (12 CFR 109) to adjust the maximum amount of each civil money penalty (CMP) within its jurisdiction, pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (2015 Adjustment Act). The effective date of this final rule is January 27, 2017, and the adjusted maximum amounts apply only to penalties assessed after January 15, 2017, for violations that occurred on or after November 2, 2015.

Fund Firms Select Confluence RegTech Solution To Meet Onerous SEC Modernization Challenges - Unity NXT™ Regulatory Reporting Platform Provides Consistency And Control In Data Reporting Through Integration, Aggregation And Reusability

Date 27/01/2017

Confluence, the global leader in investment data management automation, today announced that the first four clients have licensed Confluence’s Unity NXT Regulatory Reporting platform to manage end-to-end filing processes for the new and onerous regulatory reporting requirements imposed by the SEC Investment Company Reporting Modernization rules. Following the announcement of the final rules in October of 2016, Confluence has seen unprecedented urgency in the market to solve the data-intensive reporting challenges imposed by Form N-PORT and Form N-CEN to ensure preparedness well in advance of the initial filing deadlines in 2018.

Malawi Stock Exchange Weekly Trading Report - 27 January, 2017

Date 27/01/2017

Click here to download Malawi Stock Exchange's weekly trading report.

BM&FBOVESPA: Investment In Latin American Exchanges – Purchase Of Equity Stake In Bolsa De Valores De Lima

Date 27/01/2017

Bolsa de Valores, Mercadorias e Futuros (“BM&FBOVESPA”) informs that it reached an equity stake of 8.59% in Lima Stock Exchange (Bolsa de Valores de Lima – BVL) through acquisitions carried out in the exchange market, in an investment of 50.7 million of Nuevos Soles Peruanos (approximately R$49 million). With this investment, BM&FBOVESPA became the largest shareholder of BVL.

ITC Secure Networking Announces Partnership With HeleCloud - Our Strategic Partnership Will Enable Our Customers To Transition Their Business To The Cloud Securely And Confidently

Date 27/01/2017

ITC Secure Networking (“ITC”), the assured IT and managed infrastructure and security services (“MSS”) provider, has announced it has signed a partnership with HeleCloud, a fast-growing Cloud consultancy, specifically via Amazon Web Service (“AWS”). The partnership will jointly enable enterprise clients to transition their IT infrastructure securely onto the Amazon Web Services (“AWS”) Cloud.

ESMA Publishes New Q&A On Alternative Performance Measures Guidelines

Date 27/01/2017

The European Securities and Markets Authority (ESMA) has published a new Questions and Answers (Q&A) document, comprising six questions, on the implementation of its Guidelines on the Alternative Performance Measures for listed issuers.

BME: MAB And PIMEC Create Lanzaderas PYME - With The Aim Of Guiding Catalan Small And Medium-Sized Companies To The Capital Markets

Date 27/01/2017

The Mercado Alternativo Bursátil (MAB), operated by BME, and the Catalan employers' organisation of micro, small and medium-sized enterprises and self-employed professionals of Catalonia, PIMEC, have launched Lanzaderas PYME, an initiative aimed at guiding small and medium enterprises of Catalonia to the capital markets.

WMA Financial Crime Conference 2017

Date 27/01/2017

The Wealth Management Association hosted its Annual Financial Crime Conference in London, where industry experts, regulators and practitioners discussed a wide range of developments in the rapidly evolving financial crime landscape. Delegates included representatives from a range of wealth management firms and other organisations who gathered insights on the latest developments in policy and legislation, risk analysis, cyber defence, cyber liability and the impact of financial crime.