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  • DTCC Appoints Lisa Hershey As Chief Compliance Officer

    Date 23/09/2020

    The Depository Trust & Clearing Corporation (DTCC), the premier post-trade infrastructure for the global financial services industry, today announced the appointment of Lisa Hershey as Managing Director and Chief Compliance Officer with responsibility for leading the firm’s compliance function effective January 1, 2021. She will report to Ann Shuman, DTCC’s Managing Director and General Counsel.

  • ESMA Reappoints The Chairs Of Its Data And Investment Management Standing Committees

    Date 23/09/2020

    The Board of Supervisors of the European Securities and Markets Authority (ESMA) has made the following reappointments as standing committee chairs:

    • Christopher Buttigieg, Director of the Securities and Markets Supervision Unit at the Malta Financial Services Authority (MFSA), as chair of the Data Standing Committee; and
    • Gabriela Figueiredo Dias, Chair of the Comissão do Mercado de Valores Mobiliários (CMVM) of Portugal, as chair of the Investment Management Standing Committee.

  • SEC Obtains Emergency Asset Freeze, Charges Ring Of Microcap Stock Manipulators Targeting Retail Investors

    Date 23/09/2020

    The Securities and Exchange Commission today announced that it has obtained an asset freeze and other emergency relief to halt a series of microcap market manipulation schemes that defrauded retail investors. 

  • Moscow Exchange: Risk Parameters Change For The Security SU29015RMFS3

    Date 23/09/2020

    As per the Securities market risk parameters methodology, on 23.09.2020, 15-47 (MSK) the upper bound of the price band (up to 82.983) and initial margins (up to 10 %) for the security SU29015RMFS3 were changed. New values are available here

  • Cloud9 Validated As Citrix Ready® To Empower Voice Trading Workflows From Anywhere

    Date 23/09/2020

    Cloud9 Technologies ("Cloud9"), a provider of cloud-based communications, today announced that its voice trading solution C9 Trader has been validated as Citrix® Ready™. Through the Citrix Ready Program, Cloud9’s sophisticated voice trading APIs can be distributed to institutional traders in any location in an efficient and secure manner.