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Date 22/12/2014
Bank Of England: Record Of Financial Policy Committee Meetings Held On 8 And 15 December 2014
At its meetings on 8 and 15 December, the Financial Policy Committee made no new recommendations.
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Date 22/12/2014
European Supervisory Authorities Tackle Cross-Selling Practices In The Financial Sector
The Joint Committee of the three European Supervisory Authorities (EBA, EIOPA and ESMA) published today a consultation paper on draft Guidelines for regulating cross-selling practices in the financial sector across the EU. These guidelines establish a coherent and effective approach in supervising firms that offer cross-selling options, so as to enhancing protection of EU customers. The consultation will run until 22 March 2015.
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Date 22/12/2014
FINRA Bars Broker For Stealing $89,000 From An Elderly Customer
The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Jeffrey C. McClure from the securities industry for converting nearly $89,000 from an elderly customer's bank account while working for Wells Fargo Advisors, LLC and an affiliated bank in Chico, California. The affiliated bank has made the customer whole for her losses.
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Date 22/12/2014
CFTC Orders Deutsche Bank Securities Inc. To Pay $3 Million To Settle Charges Of Improper Investment Of Customer Segregated Funds, Reporting And Recordkeeping Violations, And Supervision Failures
The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against Deutsche Bank Securities Inc. (DBSI), a registered Futures Commission Merchant (FCM) based in New York, N.Y., for failing to properly invest customer segregated funds, failing to prepare and file accurate financial reports, failing to maintain required books and records, and for related supervisory failures. None of the violations resulted in any customer losses, according to the CFTC’s Order. The Order requires DBSI to pay a $3 million civil monetary penalty and to cease and desist from violating the CFTC Regulations, as charged. DBSI is an indirect, wholly-owned subsidiary of the parent company, Deutsche Bank AG.
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Date 22/12/2014
Moscow Exchange: Eurobonds To Be Admitted To Repo With The Central Counterparty ("CCP")
As of 22 December 2014, Moscow Exchange has admitted 55 Eurobonds from the Bank of Russia's Lombard list with a "BBB-", or higher, rating to repo with the CCP (in trading modes "Repo with the CCP: anonymous orders" and 'Repo with the CCP: non-anonymous orders").
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Date 22/12/2014
FINRA Signs Regulatory Services Agreement With CBOE And C2
The Financial Industry Regulatory Authority (FINRA) today announced that it has signed an agreement with the Chicago Board Options Exchange® (CBOE®) and C2 Options Exchange (C2) to provide market surveillance, financial surveillance, examinations, investigations, and disciplinary services to CBOE and C2, in addition to other regulatory services. FINRA, the independent, non-governmental regulator for all securities firms doing business with the public in the United States, will begin to perform these services on January 1, 2015.
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Date 22/12/2014
CFTC’s Global Markets Advisory Subcommittee On Foreign Exchange Markets Submits Report
The U.S. Commodity Futures Trading Commission’s (CFTC) Subcommittee on Foreign Exchange Markets (FEM) submitted a report to the Global Markets Advisory Committee (GMAC) regarding a prospective clearing mandate for foreign exchange (FX) non-deliverable forwards (NDFs). FEM is a subcommittee of GMAC.
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Date 22/12/2014
SEC Charges Investment Manager F-Squared And Former CEO With Making False Performance Claims - F-Squared Settles Case By Paying $35 Million And Admitting Wrongdoing
The Securities and Exchange Commission today announced that investment management firm F-Squared Investments has agreed to pay $35 million and admit wrongdoing to settle charges that it defrauded investors through false performance advertising about its flagship product.
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Date 22/12/2014
Toronto Stock Exchange Sets New Trading Records
TMX Group today announced that Toronto Stock Exchange (TSX) set a new daily volume record on December 19, 2014 with 1,535,887,985 shares traded. This surpassed the previous record of 895,769,152, which was set on December 19, 2008.
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Date 22/12/2014
Looking For Xmas & New Year Finance Challenges For 15-19 Year Olds This Holiday? What Is An ISA? What Is The Hourly Wage For An 18 Year Old? What Is The Difference Between APR And EAR? Challenge Your Friends With The #yourmoney Fun Financial Literacy App
If there are any 15-19 year olds in your household over Christmas and New Year, why not get them to download the CISI new, free #yourmoney app for some fun learning challenges?
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