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FINRA Fines Cantor Fitzgerald $2 Million For Regulation SHO Violations And Supervisory Failures - Firm Required To Retain An Independent Consultant

Date 05/03/2019

FINRA announced today that it has fined Cantor Fitzgerald & Co. (Cantor) $2 million for Regulation SHO (Reg SHO) violations and supervisory failures spanning a period of at least five years. As part of the settlement, Cantor also agreed to retain an independent consultant to conduct a comprehensive review of the firm’s policies, systems, procedures and training related to Reg SHO.
CFTC March 7 Open Meeting Cancelled

Date 05/03/2019

The Commodity Futures Trading Commission Open Meeting scheduled for Thursday, March 7, 2019 has been cancelled. The matters under consideration are being resolved through the Commission’s seriatim process.
SEC: BB&T To Return More Than $5 Million To Retail Investors And Pay Penalty Relating To Directed Brokerage Arrangements

Date 05/03/2019

The Securities and Exchange Commission today announced that BB&T Securities has agreed to return more than $5 million to retail investors and pay a $500,000 penalty to settle charges that a firm it acquired misled its advisory clients into believing they were receiving full service brokerage services in-house at a discount while significantly less expensive options were available externally.
EIOPA And Its Members Agree On No-Deal Brexit Memoranda Of Understanding With The Bank Of England And The Financial Conduct Authority

Date 05/03/2019

The European Insurance and Occupational Pensions Authority (EIOPA) and all National Competent Authorities (NCAs) of the European Economic Area (EEA) with competencies in insurance have agreed Memoranda of Understanding (MoUs) with the Bank of England in its capacity as the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) of the United Kingdom (UK).
Bank Of England And Financial Conduct Authority Agree Memoranda Of Understanding (MoUs) With EIOPA And EU Insurance Supervisors

Date 05/03/2019

The Prudential Regulation Authority (PRA), Financial Conduct Authority (FCA) and European Insurance and Occupational Pensions Authority (EIOPA) are announcing today that they have agreed Memoranda of Understanding (MoUs) regarding supervisory cooperation and information-sharing arrangements with respect to UK and EU/EEA insurance companies.

Bulgarian Stock Exchange Approved The First Advisor On The SME Growth Market BEAM

Date 05/03/2019

Bulgarian Stock Exchange approved Aval In Investment Intermediary as the first consulting company, the so-called advisor, on the SME Growth Market BEAM. The Investment Intermediary will consult and support small and midsize companies in the process of their listing on the Growth Market BEAM and in the period of their trading. Aval In is operating on the capital market of our country for more than 25 years.
Vienna Stock Exchange: Composition Of Austrian Leading Index ATX Remains Unchanged

Date 05/03/2019

The semi-annual review of the Austrian benchmark index ATX in accordance with the rules and regulations does not result in any changes to the composition or free float factors. Other benchmarks such as the ATX five or the ATX prime also remain unchanged. Calculation parameters such as free float factors will be reviewed again as scheduled on Tuesday, 4 June 2019. The next review of the composition of Austrian benchmarks is scheduled for Tuesday, 3 September 2019.
ADX Holds Workshop On ‘Corporate Governance And Board Of Directors’ Role’ - To Review The Latest Amendments To The Governance Rules

Date 05/03/2019

As part of its ongoing efforts to introduce the latest developments in corporate governance and their implementation in listed companies, Abu Dhabi Securities Exchange (ADX), the region's leading financial market, recently held a workshop on Corporate Governance and Board of Directors’ Role at its headquarters. Senior executives from relevant departments responsible for the application of corporate governance in public shareholding companies listed on the Exchange attended the workshop.
EBA Consultation: CP On GLs Guidelines On Harmonised Definitions And Templates For Funding Plans Of Credit Institutions

Date 05/03/2019

The European Banking Authority (EBA) launched today a consultation on the updated Guidelines on harmonised definitions and templates for the reporting of funding plans. This update is the result of the experience gained through the EBA's assessment of banks' funding plans in 2017 and 2018 as well as the questions raised via the EBA Single Rulebook Q&A tool. The consultation runs until 5 June 2019.
Dubai Mercantile Exchange Sees 160% Growth In Forward Trading - Increased Activity In Forward Months Reflects A Sharp Increase In Commercial Hedging Of The DME Oman Benchmark

Date 05/03/2019

Dubai Mercantile Exchange (DME), the premier international energy futures exchange in the Middle East, today announced a 160% increase year-on-year in trading activity on the exchange’s forward curve.