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SEC: Company Settles Charges In Whistleblower Retaliation Case

Date 20/12/2016

The Securities and Exchange Commission today announced that an oil-and-gas company has agreed to settle charges that it used illegal separation agreements and retaliated against a whistleblower who expressed concerns internally about how its reserves were being calculated.
Federal Reserve Board Announces Appointment Of The Chairs And Deputy Chairs Of The Federal Reserve Banks For 2017

Date 20/12/2016

The Federal Reserve Board on Tuesday announced the designation of the chairs and deputy chairs of the 12 Federal Reserve Banks for 2017.
ESMA Publishes MiFIR Q&A Regarding Data Reporting

Date 20/12/2016

The European Securities and Markets Authority (ESMA) has published today its Questions and Answers (Q&As) documentregarding the implementation of the Market in Financial Instruments Directive (MiFID II) and Regulation (MiFIR).
Otkritie Capital Becomes Individual Clearing Member On Moscow Exchange FX Market

Date 20/12/2016

Otkritie Capital International Ltd (OCIL) has become the first international broker admitted to individual clearing membership on Moscow Exchange. The company will clear and settle trades executed by authorised trading members on behalf of OCIL and its clients.
ESMA Publishes Updated MAR Q&A

Date 20/12/2016

The European Securities and Markets Authority (ESMA) has issued today a Questions & Answers (Q&A) document regarding the implementation of the Market Abuse Regulation (MAR). The purpose of this Q&A document is to promote common supervisory approaches and practices in the application of the MAR and its implementing measures.

European Council - Council Of The European Union - Capital Markets Union: Council Confirms Deal On Prospectus Rules

Date 20/12/2016

On 20 December 2016, the Permanent Representatives Committee approved, on behalf of the Council, an agreement with the European Parliament on prospectuses for the issuing and offering of securities.
Underwriting Standards Ease For Fourth Consecutive Year, Office Of The Comptroller Of The Currency Survey Shows

Date 20/12/2016

Underwriting practices among national banks and federal savings associations (FSAs) eased for a fourth consecutive year in 2016, according to a report released today by the Office of the Comptroller of the Currency (OCC).
Deutsche Börse: Update On Potential Sale Of LCH.Clearnet SA

Date 20/12/2016

Further to the announcement by Deutsche Börse AG (“DBAG”) of 28 September 2016 that the London Stock Exchange Group plc (“LSEG”) and LCH.Clearnet Group Limited ("LCH Group") are exploring the sale of LCH.Clearnet SA, LCH Group’s French-regulated operating subsidiary, in order to address proactively anti-trust concerns raised by the European Commission in relation to certain businesses, LSEG and LCH Group have confirmed that they have entered into exclusive discussions with Euronext N.V. There can be no certainty that this will lead to any transaction or as to the terms upon which any transaction might proceed.
SEC Charges Morgan Stanley With Customer Protection Rule Violations

Date 20/12/2016

The Securities and Exchange Commission today announced that Morgan Stanley & Co. LLC has agreed to pay $7.5 million to settle charges it used trades involving customer cash to lower the firm’s borrowing costs in violation of the SEC’s Customer Protection Rule.
Abacus Group Launches AbacusFLEX Protect - Managed Cloud Services Provider For Alternative Investment Funds Provides Unparalleled Protection Of Critical Client Data

Date 20/12/2016

Abacus Group, a leading provider of hosted cloud IT solutions for alternative investment funds, today announced an expansion of the firm’s cybersecurity services with the launch of AbacusFLEX Protect.