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  • European Supervisory Authorities Tackle Cross-Selling Practices In The Financial Sector

    Date 22/12/2014

    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.

  • FINRA Bars Broker For Stealing $89,000 From An Elderly Customer

    Date 22/12/2014

    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.

  • 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

    Date 22/12/2014

    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.

  • Moscow Exchange: Eurobonds To Be Admitted To Repo With The Central Counterparty ("CCP")

    Date 22/12/2014

    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").

  • FINRA Signs Regulatory Services Agreement With CBOE And C2

    Date 22/12/2014

    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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