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Office Of The Comptroller Of The Currency Report Discusses Risks Facing National Banks And Federal Savings Associations

Date 05/01/2017

The Office of the Comptroller of the Currency (OCC) reported strategic, credit, operational, and compliance risks remain top concerns in its Semiannual Risk Perspective for Fall 2016, released today.
ESMA Seeks Corporate Reporting Experts For Stakeholder Panel

Date 05/01/2017

The European Securities and Markets Authority (ESMA) has issued today a call for candidates in order to renew the composition of its Consultative Working Group (CWG) which advises ESMA’s Corporate Reporting Standing Committee (CRSC).
TMX Group Consolidated Trading Statistics - December 2016

Date 05/01/2017

TMX Group Limited today announced December 2016 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange (Alpha), Montréal Exchange (MX) and NGX.
2016 Another Year Of Positive Momentum For OCC, By Craig Donohue, OCC Executive Chairman And CEO

Date 05/01/2017

In 2016, OCC's evolution from a clearing and settlement utility to becoming a systemically important market influencer was highlighted by our company being recognized with two Clearinghouse of the Year Awards; from Global Investor/ISF and Futures and Options World. These awards underscore the hard work and dedication of OCC's entire team to ensuring confidence in the financial markets and the broader economy. They also recognize OCC as a preeminent clearing organization and they acknowledge our adaptions to increased expectations as a SIFMU.
Federal Court In New York Orders Jon S. Corzine To Pay $5 Million Penalty For His Role In MF Global’s Unlawful Use Of Nearly $1 Billion Of Customer Funds And Prohibits Corzine From Registering With The CFTC In Any Capacity Or Associating With An FCM - The Court’s Order Also Imposes A $500,000 Penalty And Registration And Employment Restrictions Against Edith O’Brien, MF Global’s Former Assistant Treasurer, For Aiding And Abetting MF Global’s Unlawful Use Of Customer Funds

Date 05/01/2017

The U.S. Commodity Futures Trading Commission (CFTC) has obtained a federal court Consent Order against Defendant Jon S. Corzine (Corzine Order), former CEO of MF Global Inc. (MF Global), requiring him to pay a $5 million civil monetary penalty for his role in MF Global’s unlawful use of customer funds totaling nearly one billion dollars and for his failure to diligently supervise the handling of customer funds. Per the Corzine Order, Corzine cannot seek or accept, directly or indirectly, reimbursement or indemnification from any insurance policy with regard to the penalty amount. The Corzine Order also requires Corzine to undertake that he will never act as a principal, agent, officer, director, or employee of a Futures Commission Merchant (FCM) and that he will never register with the CFTC in any capacity. As to Defendant Edith O’Brien, the former Assistant Treasurer of MF Global, the Court entered an Order (O’Brien Order) requiring her to pay a $500,000 civil monetary penalty for aiding and abetting MF Global’s violations and prevents her from associating with an FCM or registering with the CFTC in any capacity for a period of eighteen (18) months.

ESMA Publishes Extract On Enforcement Decisions On Financial Statements

Date 05/01/2017

The European Securities and Markets Authority (ESMA) has published an extract from its confidential database of enforcement decisions on financial statements. The extract includes a selection of 14 decisions that were taken by national enforcers in the period from March 2014 to June 2016.
SIX Swiss Exchange: A Closer Look At Convertible Bonds - A Guest Contribution By UniCredit Examines How Convertible Bonds Can Be An Attractive Asset Class For Long-Term Oriented Investors

Date 05/01/2017

Dr. Philip Gisdakis, who works at UniCredit's Corporate & Investment Banking unit and heads the Cross Asset Strategy and Credit Strategy & Structured Credit Research teams, looks at the asset class of convertible bonds. In his guest contribution[PDF], he describes their return profile that enables investors to participate with equity like returns in an upturn, while in a downturn it behaves more like bonds and offers a higher level of protection than outright exposures to equities.
Tadawul Announces The New Industry Classification To Commence On January 8, 2017

Date 05/01/2017

In reference to the announcement published by the Saudi Stock Exchange “Tadawul” dated December 1, 2016 regarding reclassifying the Equity market sectors in accordance with Global Industry Classification Standard (GICS), Tadawul announces that the new industry classification shall be effective starting from Sunday January 8, 2017. This step is in line with Tadawul’s strategy to support the development of the Saudi capital market, and aims to enhance transparency and provide more reliable information on sector performance.
ISDA Launches Japanese Module For ISDA Resolution Stay Jurisdictional Modular Protocol

Date 05/01/2017

The International Swaps and Derivatives Association, Inc. (ISDA) today announced the launch of a Japanese jurisdictional module to the ISDA Resolution Stay Jurisdictional Modular Protocol (JMP). The new module will allow market participants to comply with Japanese regulations that require contractual stays to be included into certain financial contracts not governed by Japanese law.
BioTime's Management Opened Today The Trading Day At The Tel Aviv Stock Exchange Following The Launch Of A New Production Center In Israel

Date 05/01/2017

Members of BioTime's management, Adi Mohanty, Co-CEO and David Schlachet, director of the company, were invited to participate in the opening bell ceremony at TASE.