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CFTC Swaps Report Update
Date 04/11/2015
CFTC's Weekly Swaps Report has been updated, and is now available.
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SEC Announces Whistleblower Award Of More Than $325,000
Date 04/11/2015
The Securities and Exchange Commission today announced a whistleblower award totaling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement staff to open an investigation and uncover the extent of the fraudulent activity.
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Looking Ahead - Closing Remarks At The ECB Forum On Banking Supervision - Closing Remarks By Sabine Lautenschläger, Member Of The Executive Board Of The ECB And Vice-Chair Of The Supervisory Board Of The Single Supervisory Mechanism, At The SSM Banking Supervision Forum, 4 November 2015
Date 04/11/2015
Let me close this conference by making a few remarks on the political climate in which regulators and supervisors are working and which the previous panel discussed. And while today is certainly a day for celebration, I also want to mention one major challenge the SSM is facing in the years to come.
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SEC Identifies More Alleged Corrupt Brokers In Stock Manipulation Case
Date 04/11/2015
The Securities and Exchange Commission today announced it has identified three additional individuals to charge in a penny stock manipulation case the agency filed last year against alleged corrupt brokers and others.
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Federal Reserve Board Announces Civil Money Penalty And Issues Cease And Desist Order Against Deutsche Bank AG
Date 04/11/2015
The Federal Reserve Board on Wednesday announced a $58 million penalty and consent cease and desist order against Deutsche Bank AG, of Frankfurt, Germany, related to violations of U.S. sanctions. The order requires Deutsche Bank to implement an enhanced program to ensure global compliance with U.S. sanctions administered by the U.S. Department of Treasury's Office of Foreign Assets Control.
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Dubai Financial Services Authority Fines ABN AMRO For Anti-Money Laundering Deficiencies
Date 04/11/2015
The Dubai Financial Services Authority (DFSA) has imposed a fine of USD 640,000 (AED 2,350,720) on ABN AMRO Bank N.V. DIFC Branch (ABN).
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EBRD: Key Government Role Seen For Southern And Eastern Mediterranean Capital Market Development
Date 04/11/2015
Government engagement and political leadership have a key role to play in the development of capital markets in the southern and eastern Mediterranean region, according to a new report from the European Bank for Reconstruction and Development and the Arab Monetary Fund (AMF).
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2015 National Society Of Compliance Professionals, National Conference: Keynote Address, Andrew Ceresney, Director, SEC Division Of Enforcement, Washington, D.C., Nov. 4, 2015
Date 04/11/2015
Good morning. Thank you for inviting me to speak to you today. Before I begin my remarks, let me give the necessary disclaimer that the views I express here today are my own and do not necessarily represent the views of the Commission or its staff.
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EBA Finds Further Increase In EU Banks Capital Ratios In 2015
Date 04/11/2015
In its risk dashboard for the EU banking sector published today, the European Banking Authority (EBA) gives an overview of the health of EU banks for the second quarter of 2015. While capital ratios have increased, the quality of loan portfolios remains weak, but EU banks profitability has increased compared to 2014. The EBA risk dashboard summarises the main risks and vulnerabilities in the banking sector on the basis of the evolution of a set of key risk indicators across the EU.
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ESMA Publishes Responses To The Consultation On Draft Implementing Technical Standards Under MiFID II
Date 04/11/2015
The European Securities and Markets Authority (ESMA) has published the responses received to the Consultation on
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