Mondo Visione Worldwide Financial Markets Intelligence

FTSE Mondo Visione Exchanges Index:

News Centre

  • Compliance, Culture And Evolving Regulatory Expectations, Speech By Mark Steward, UK Financial Conduct Authority Executive Director Of Enforcement And Market Oversight, Delivered At NYU Law School

    Date 26/04/2021

    Highlights

    • The Senior Managers Regime (SMR) has changed the way firms allocate responsibilities, align those responsibilities to relevant controls and ensure oversight as to how these controls operate down the line.
    • The 5 Conduct Questions (5CQ), which start with ‘tone from the top’, are increasingly focussing on ‘tone from within’ which requires every person in an organisation to be personally accountable and engaged. 
    • Every employee of a regulated firm is subject to individual conduct rules, which impose broad obligations. 
    • The SMR and 5CQ questions require firms to think about how a system or function might fail because of non-compliance, and they inject a sharper focus on conduct risk into the fabric of an organisation. 
    • As demonstrated by enforcement cases, failures are not necessarily failures of compliance, but the consequence of choices made by individuals. 

  • SEC Names Keo Chea As Director of Public Engagement And Aisha Johnson As Director Of Media Relations

    Date 26/04/2021

    The Securities and Exchange Commission today announced the appointments of Keo Chea as Director of Public Engagement and Aisha Johnson as Director of Media Relations. Chea joins the SEC from the Consumer Financial Protection Bureau, effective today, and Johnson will join the SEC from the office of U.S. Senator Bob Casey, D-Pa., effective May 10.


  • Moscow Exchange: Risk Parameters Change For The Securities

    Date 26/04/2021

    The following risk parameters will be changed:

    IR risk (downward scenario) - SECΔ_1 (Y0/Y1)

    TickerCurrent valueNew valueNew value effective for
    AKRN 35% 77% 29.04.2021 - 04.05.2021
    ENPG 35% 77% 29.04.2021 - 04.05.2021
    PFE-RM 35% 77% 05.05.2021 - 07.05.2021
    PLZL 35% 77% 29.04.2021 - 04.05.2021
    SBUX-RM 35% 77% 11.05.2021 - 13.05.2021

  • Broadway Technology Names Claudia Cantarella Chief Legal Officer - Long-Term Broadway Executive Elevated To Senior Strategic Role

    Date 26/04/2021

    Broadway Technology, a leading provider of high-performance front-office solutions, today announced it has promoted Claudia Cantarella to the role of Chief Legal Officer. Cantarella will also join the Executive Leadership Team and direct the company’s global legal and regulatory activity, guide corporate strategy and development, and help position Broadway for continued growth.

  • internationals-ma.de: BaFin Launches Investigation Into International Markets Association

    Date 26/04/2021

    In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin informs the public that International Markets Association, registered office unknown, has not been granted authorisation under the KWG to conduct banking business or provide financial services. The company is not subject to BaFin’s supervision.