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  • UK's Financial Conduct Authority: Two Sentenced In Insider Dealing Case

    Date 13/01/2017

    In a prosecution brought by the Financial Conduct Authority (FCA) Manjeet Mohal, a former employee of Logica Plc, has today been sentenced to 10 months imprisonment suspended for two years in respect of two counts of insider dealing. He was also ordered to undertake 180 hours of community work. Reshim Birk, a neighbour of Mr Mohal’s was sentenced to 16 months imprisonment suspended for two years in respect of one count of insider dealing. He was ordered to undertake 200 hours of community work.

  • SEC: Morgan Stanley Paying $13 Million Penalty For Overbilling Clients And Violating Custody Rule

    Date 13/01/2017

    The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney has agreed to pay a $13 million penalty to settle charges that it overbilled investment advisory clients due to coding and other billing system errors.  The firm also violated the custody rule pertaining to annual surprise examinations.

  • Statement Of CFTC Chairman Timothy Massad On Proposed Amendments To The Swap Data Access Provisions

    Date 13/01/2017

    The increased reporting of data on swaps transactions is an important reform of the derivatives markets agreed to by the G20 leaders in 2009. Today, thanks to this reporting, regulators across the globe are in a better position to assess exposures and risks related to this market. Because of the global nature of the market, it is critical for regulators to be able to share information, subject to appropriate confidentiality and other protections.

  • EBA Updated Risk Dashboard Shows That Elevated NPLs And A High Cost Base Pose A Significant Profitability Challenge For EU Banks

    Date 13/01/2017

     

    The European Banking Authority (EBA) published today a periodical update of its Risk Dashboard summarising the main risks and vulnerabilities in the EU banking sector by a set of Risk Indicators in Q3 2016. Together with the Risk Dashboard, the EBA published the results of a Risk Assessment Questionnaire, which was conducted among banks and market analysts between October and November this year.
     

     

  • TOM MTF Statistics Week 02, 2016

    Date 13/01/2017

    Click here to download  the weekly statistics update of TOM MTF for week 02, 2017.

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