Mondo Visione Worldwide Financial Markets Intelligence

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  • SEC: UBS To Pay $10 Million For Violating Rules Which Give Priority To Retail Investors In Municipal Offerings

    Date 20/07/2020

    The Securities and Exchange Commission today announced that UBS Financial Services Inc. has agreed to pay more than $10 million to resolve charges that it circumvented the priority given to retail investors in certain municipal bond offerings. 


  • CFTC Orders Florida Company To Pay $75,000 For Registration Violations

    Date 20/07/2020

    The Commodity Futures Trading Commission today issued an order filing and settling an enforcement action against Southwest Group, LLC of Fort Myers, Florida for acting as an unregistered retail foreign exchange dealer. The order requires Southwest Group to cease and desist from further violations of the Commodity Exchange Act and CFTC regulations, as charged, and to pay a civil monetary penalty of $75,000.

  • SEC Charges Financial Advisor With Fraud For Stealing Millions From Investors

    Date 20/07/2020

    The Securities and Exchange Commission today charged former registered representative and investment adviser Michael Barry Carter with fraud for stealing from brokerage customers and an elderly advisory client.


  • Pending Applications By EU Administrators Of Benchmarks – Article 51.1 Of BMR

    Date 20/07/2020

    The following table includes the information shared by National Competent Authorities with ESMA in relation to the applications for authorisation and registration by EU administrators under Article 51.1 of BMR for which, as of 01.01.2020, the decision by the relevant competent authority is still pending.

  • Moscow Exchange Changes The Tick Size From The 3rd Of August 2020

    Date 20/07/2020

    To increase the effectiveness of equity market microstructure, MOEX establishes the new tick size and Decimals parameter for the following stocks starting 3rd August 2020 in the following trading modes:

    • Main trading mode Т+ ("Т+2" order book)
    • Odd lots trading mode
    • Dark pool trading mode
    • IIR sector — Main trading mode Т+
    • Negotiated trades mode (NTM)
    • NTM with CCP trading mode
    • IIR sector — NTM trading mode
    • IIR sector — NTM with CCP trading mode