Mondo Visione Worldwide Financial Markets Intelligence

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  • FCA Bans Four For 'Disgraceful' Failings In Relation To Occupational Pension Schemes

    Date 17/12/2013

    Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics Limited (collectively CBW) by the Pension Regulator (TPR) which found serious flaws in CBW’s conduct.

  • November 2013 FIF Market Share And Market Dynamics Reports – Executive Summary

    Date 17/12/2013

    U.S. Equities Market Share

    • Share volumes traded across Tape A, B, and C totaled118.0 billion shares, a decrease of 18.4% monthly, and9.2% annually.
    • In November 2013, off-exchange trading accounted for37.5% of the shares traded in NMS Equity Securities, a slight increase of 0.2% compared to last month.
    • NYSE-listed securities share volume was 63.8 billion shares, a decrease of 17.1% monthly, and 10.8% annually.
    • Share volume in NASDAQ-listed securities was 34.1 billion shares, a 17.2% monthly and 3.4% annual decrease.

  • Aquis Exchange Expands Client Sales Team - Appoints Graham Dick To Head Team, Leila Mayet Joins From Nasdaq OMX

    Date 17/12/2013

    Aquis Exchange, the subscriptions-based European equities exchange, today announced that it has expanded its Sales and Client Relationship Management (CRM) team and appointed Graham Dick to lead it. 

  • Tribunal Bans Former Trader For Lying To The FCA And The Tribunal

    Date 17/12/2013

    The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Conduct Authority (FCA) to ban former derivatives trader David John Hobbs from performing any role in regulated financial services.

  • ECC To Introduce Trade Reporting Services

    Date 17/12/2013

    In the future, European Commodity Clearing (ECC) will also offer reporting of transaction data – so-called Trade Reporting – in the framework of EMIR (European Market Infrastructure Regulation).