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CPMI-IOSCO: Jurisdictions Move Forward Towards Implementing Standards For Payment, Clearing And Settlement

Date 14/03/2019

According to a recent update to the Level 1 information made available by the Committee on Payments and Market Infrastructures (CPMI) and the International Organization of Securities Commissions (IOSCO), jurisdictions are making progress on implementing international standards for payment systems, central securities depositories, securities settlement systems, central counterparties and trade repositories.
EBA Notes Good Progress In Convergence Of Supervisory Practices Across The EU

Date 14/03/2019

The European Banking Authority (EBA) published today its annual Report on the convergence of supervisory practices in the EU. The EBA's work in supervisory convergence aims at fostering comparable supervisory approaches across the single market. This is necessary to ensure a level playing field, effective supervision of cross border groups, and to promote supervisory best practices.
ESMA Includes MIFID II/ MIFIR In Its Interactive Single Rulebook

Date 14/03/2019

The European Securities and Markets Authority (ESMA) has updated today its Interactive Single Rulebook, an online tool allowing a comprehensive overview of and an easy access to all level 2 and level 3 measures adopted in relation to a given level 1 text.
Hong Kong’s Securities And Futures Commission Reprimands And Fines Morgan Stanley Asia Limited $224 Million For Sponsor Failures

Date 14/03/2019

The Securities and Futures Commission (SFC) has reprimanded and fined Morgan Stanley Asia Limited (Morgan Stanley) for failing to discharge its obligations as one of the joint sponsors in relation to the listing application of Tianhe Chemicals Group Limited (Tianhe) in 2014.
RegTech Artificial Intelligence: Compliance Lifeline - Financial Institutions Are Using AI To Improve The Customer Journey And Their Insights On Client Behavior. According To The Newest Aite Group Report, Huge Potential Awaits In The Compliance Function

Date 14/03/2019

Compliance struggles as a cost center, yet staff are imperative risk mitigators, regulation educators, and daily communicators of a firm’s policies and procedures. Often, chief compliance officers feel that compliance point solutions fail to handle their comprehensive role within the firm. Artificial intelligence offers perhaps the first authentic response to the tired warriors with antiquated weapons. Aite Group’s latest report, Regtech Artificial Intelligence: Compliance Lifeline, explores what types of AI tools are available today to work on behalf of compliance.

Hong Kong's Securities And Futures Commission Reprimands And Fines Merrill Lynch Far East Limited $128 Million For Sponsor Failures

Date 14/03/2019

The Securities and Futures Commission (SFC) has reprimanded and fined Merrill Lynch Far East Limited (Merrill Lynch) for failing to discharge its obligations as one of the joint sponsors in relation to the listing application of Tianhe Chemicals Group Limited (Tianhe) in 2014.
Changes To The UK Financial Policy Committee - Dame Jayne-Anne Gadhia Will Join The Bank Of England's Financial Policy Committee In April 2020.

Date 14/03/2019

Dame Jayne-Anne Gadhia was appointed as an external member of the Bank of England’s Financial Policy Committee (FPC) in January 2019. To ensure Dame Jayne-Anne is free from conflicts arising from her continuing role with CYBG, she will now join the FPC in April 2020, rather than April 2019. The delay to her start date will ensure she does not have to recuse herself from significant parts of the FPC’s work.
ESMA RegTech And SupTech – Change For Markets And Regulators

Date 14/03/2019

The European Securities and Markets Authority (ESMA) has carried out an analysis of the regulatory and supervisory technologies currently being developed in response to various demand and supply drivers. The results of this analysis are presented in an article in the latest Trends, Risks and Vulnerabilities (TRV) Report.
Hong Kong's Securities And Futures Commission Fines UBS $375 Million And Suspends Its Licence For One Year For Sponsor Failures

Date 14/03/2019

The Securities and Futures Commission (SFC) has reprimanded and fined UBS AG and UBS Securities Hong Kong Limited (UBS Securities Hong Kong) (collectively, UBS) a sum of $375 million for failing to discharge their obligations as one of the joint sponsors of three listing applications, namely, China Forestry Holdings Company Limited (China Forestry), Tianhe Chemicals Group Limited (Tianhe), and another listing application (the Other Listing Application).
Moscow Exchange:Risk Parameters Change For The Security GCHE

Date 14/03/2019

As per the Equity Market Risk Parameters Methodology, on 14.03.2019, 13-57 (MSK) the upper bound of the price band and initial margins for the security GCHE was changed. New values are available at http://nkcbank.com/fondMarketRates.do