News Centre

MAS Directs Falcon Bank To Cease Operations In Singapore - Financial Penalties Imposed On DBS Bank And UBS

Date 11/10/2016

The Monetary Authority of Singapore (MAS) announced today that it is withdrawing the merchant bank status of Falcon Private Bank Ltd, Singapore Branch (Falcon Bank) for serious failures in anti-money laundering (AML) controls and improper conduct by senior management at the Head Office in Switzerland as well as the Singapore Branch.

UK's Financial Conduct Authority Continues Its Strong Commitment To Diversity And Inclusion

Date 11/10/2016

The Financial Conduct Authority (FCA) has today published targets for the Women in Finance Charter, which it signed in June 2016. As a commitment to diversity in senior roles, the FCA has also announced its Black, Asian, Minority Ethnic (BAME) targets for 2020 and 2025. This comes as part of its continued commitment to diversity and inclusion.

Nasdaq September 2016 Volumes, 3Q16 Est. Revenue Capture

Date 11/10/2016

Nasdaq (Nasdaq:NDAQ) today reported monthly volumes for September 2016, as well as quarterly volumes and estimated revenue capture for the quarter ending September 30, 2016, on its investor relations website. 

Financial Advisors Are A Crucial Part Of The Investing Community, By Frank Tirado, Vice President, The Options Industry Council, October 10, 2016

Date 10/10/2016

As the world's largest equity derivatives clearing organization, OCC knows that financial advisors are a crucial part of the investing community. According to Cerulli Associates, there are roughly 285,000 financial advisors in the U.S. and on average they each manage money for about 150 clients, so their investment influence is substantial.

ESMA Publishes New Q&A On Investor Protection Under MiFID II

Date 10/10/2016

The European Securities and Markets Authority (ESMA) has published a Questions and Answers (Q&A) document regarding the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR).

Montréal Exchange Market Closure - Thanksgiving Day

Date 10/10/2016

The Exchange's offices and markets are closed today, October 10, 2016 (Thanksgiving Day).

ESMA Provides Guidance On Transaction Reporting, Order Record Keeping And Clock Synchronisation Under MIFID II

Date 10/10/2016

The European Securities and Markets Authority (ESMA) has issued today final Guidelines regarding the implementation of the transaction reporting regime under the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR), along with its Final Report which sets out the feedback ESMA received to its consultation on these topics.

Speech By Christopher Woolard, Director Of Strategy And Competition At The FCA, Delivered At The LendIt Conference 2016

Date 10/10/2016

Highlights

• The crowdfunding markets are continuing to develop rapidly.
• The authorisation process acts as a gateway to protect consumers. We expect us to complete the major authorisations work in this sector soon.
• We are currently considering responses to our call-for-input on the post implementation review of crowdfunding rules. We expect to publish a feedback statement by the end of the year.

EEX New Participant: Hera Trading S.r.l.

Date 10/10/2016

Hera Trading S.r.l. has been admitted to exchange trading for Phelix Futures/Options, Nordic Financial Power Futures/Options, French Financial Power Futures/Options, Italian Financial Power Futures/Options, Spanish Financial Power Futures/Options, Swiss Financial Power Futures, Belgian Financial Power Futures, Dutch Financial Power Futures, Greek Financial Power Futures and Romanian Financial Power Futures.

Bats Global Markets, Inc. to Hold Third Quarter 2016 Earnings Conference Call Thursday, November 3rd

Date 10/10/2016

Bats Global Markets, Inc. (BATS: Bats), a leading global exchange operator and provider of market data and other financial markets services, will hold its third quarter 2016 earnings conference call on Thursday, November 3rd, at 8:00 a.m. ET. An earnings press release will be issued prior to the earnings conference call.