FTSE Mondo Visione Exchanges Index:
News Centre
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SEC: Vanguard To Pay More Than $100 Million To Resolve Violations Related To Target Date Retirement Funds
Date 17/01/2025
The Securities and Exchange Commission today announced that The Vanguard Group, Inc. will pay $106.41 million to settle charges for misleading statements related to capital gains distributions and tax consequences for retail investors who held Vanguard Investor Target Retirement Funds (Investor TRFs) in taxable accounts. The settlement amount will be distributed to harmed investors.
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SEC Charges Pennsylvania Investment Adviser Scott Mason With Misappropriating More Than $20 Million From Advisory Clients
Date 17/01/2025
The Securities and Exchange Commission today charged former Pennsylvania-based investment adviser Scott J. Mason, and his companies Rubicon Wealth Management LLC and Orchard Park Real Estate Holdings LLC, with misappropriating more than $20 million from at least 13 Rubicon advisory clients.
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SEC Charges Paul McCabe And PMAC Consulting With Acting As Unregistered Brokers For Pre-IPO Stocks - McCabe Engaged In Unregistered Broker Activity After FINRA Bar
Date 17/01/2025
The Securities and Exchange Commission today announced that Paul John McCabe Jr. and his unregistered firm PMAC Consulting LLC have agreed to pay $3 million to resolve SEC charges for illegally brokering transactions involving the stock of private companies that were expected to undertake an initial public offering (IPO).
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The EBA Repeals The Guidelines On Major Incident Reporting Under The Revised Payment Services Directive
Date 17/01/2025
The European Banking Authority (EBA) today repealed its Guidelines on major incidents reporting under the Payment Services Directive (PSD2) due to the application of harmonised incident reporting under the Digital Operational Resilience Act (DORA) from 17 January 2025. The repeal of the Guidelines aims at simplifying the reporting of major incidents by payment service providers (PSPs) and providing legal certainty to the market.
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MIAX Exchange Group - Option Markets - Electronic Filing Of Annual Reports
Date 17/01/2025
The annual report filing described in MIAX Options, MIAX Pearl Options, MIAX Emerald Options, and MIAX Sapphire Options Rule 803 Audits, has transitioned to the electronic filing platform available via FINRA’s Firm Gateway.
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SEC Charges GrubMarket With Overstating Revenue To Investors By More Than $500 Million
Date 17/01/2025
The Securities and Exchange Commission today announced settled charges against GrubMarket Inc., a private, California-based e-commerce food distributor, for providing investors with financial information that the company should have known was unreliable and that overstated its historical revenues by approximately $550 million.
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A Central Banker’s View Of Global Challenges And Expectations For The Bretton Woods Institutions’ Response − Remarks By Andrew Bailey, Governor, Bank Of England, Given At King’s College, Cambridge
Date 17/01/2025
Andrew Bailey reflects on the role that public institutions like the International Monetary Fund and World Bank have played over the last eighty years. As these institutions continue to face challenge to their legitimacy, Andrew says there is a need to reinforce these institutions and their governance in terms of accountability and their legitimacy.
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ESMA And The European Commission Publish Guidance On Non-MiCA Compliant ARTs And EMTs
Date 17/01/2025
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, published today a statement reinforcing the position related to the offer of ARTs and EMTs (also known as stablecoins) in the EU under Market in Crypto Assets regulation (MiCA).
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DMIST Publishes Consultation Paper On Position Transfers
Date 17/01/2025
DMIST, the Derivatives Market Institute for Standards, today published a proposed standard aimed at improving the processing of position transfers in the exchange-traded derivatives markets. This is the third standard proposed by DMIST, an independent organization formed by FIA in July 2022, to promote greater efficiency in the trading and clearing workflow for derivatives. -
SEC Charges LPL Financial With Anti-Money Laundering Violations
Date 17/01/2025
The Securities and Exchange Commission today announced charges against broker-dealer and investment adviser LPL Financial LLC for multiple failures related to its anti-money laundering (AML) program. To resolve the SEC’s charges, LPL agreed to pay a civil penalty of $18 million and to implement improvements to its AML policies and procedures.
