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U.S. Consolidated Audit Trail Clock Synchronization Notice

Date 14/03/2019

As previously communicated, Industry Members must complete an annual certification for Business Clock Synchronization by March 15th of each year. A reminder notification can also be found on the CAT NMS Plan website via this link. The national securities exchanges and Financial Industry Regulatory Authority, Inc. (“FINRA”) previously issued a Consolidated Audit Trail (“CAT”) notice regarding clock synchronization, including information on the Business Clock synchronization requirement, synchronization procedures, violation reporting, and annual certifications which is available via this link. A clock synchronization certification form is available via this link.
SIFMA Submits Written Statement On The SEC’s Regulation Best Interest To House Financial Services Subcommittee On Investor Protection, Entrepreneurship And Capital Markets

Date 14/03/2019

SIFMA submitted a written statement today to the House Financial Services Subcommittee on Investor Protection, Entrepreneurship and Capital Markets in conjunction with a hearing entitled ‘Putting Investors First? Examining the SEC’s Best Interest Rule.’
Jason J. Burt Named Associate Regional Director For Enforcement In SEC's Denver Office

Date 14/03/2019

The Securities and Exchange Commission today announced that Jason J. Burt has been named the Associate Regional Director for enforcement in the SEC's Denver Regional Office. Mr. Burt succeeds Kurt Gottschall, who became Regional Director of the SEC's Denver office in November 2018.
State Street Quarterly Brexometer Index Reveals Latest Investor Sentiment Towards Brexit

Date 14/03/2019

State Street Corporation (NYSE: STT) today announced the latest findings from its Brexometer Index, a quarterly pulse survey of institutional investor sentiment on the economic impact of Brexit.
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.