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  • US Federal Agencies Seek Comment On Proposed Amendments To Swap Margin Rule

    Date 05/02/2018

    Five federal agencies propose to amend swap margin requirements to conform with recent rule changes that impose new restrictions on certain qualified financial contracts (QFCs) of systemically important banking organizations. Under the proposed amendments, legacy swaps entered into before the applicable compliance date would not become subject to the margin requirements if they are amended solely to comply with the requirements of the QFC Rules

  • FINRA Fines Wedbush Securities Inc. $1.5 Million For Customer Protection, Net Capital Rule Violations And Related Failures

    Date 05/02/2018

    The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Wedbush Securities Inc. $1.5 million for violating the Securities and Exchange Commission’s (SEC) Customer Protection and Net Capital Rules, and for related supervisory and books and records failures. 

  • The Future Of The City - Speech By Andrew Bailey, Chief Executive Of The FCA, At The Future Of The City Dinner

    Date 05/02/2018

    Highlights

    • We are treating Brexit as a high priority and will do our utmost to make it work in the interests of the people of this country.
    • There is a range of operational issues arising from Brexit which, if not tackled, will create financial stability risks and issues for both the UK and the European Union (EU).
    • We are working with the Government to take action to ensure we have a functioning regulatory regime from day one by implementing the EU withdrawal bill.

  • New FINRA Rules Take Effect To Protect Seniors And Vulnerable Adults From Financial Exploitation - First Uniform, National Standards To Protect Senior Investors

    Date 05/02/2018

    Two FINRA rule changes took effect today addressing the financial exploitation of seniors and vulnerable adults, putting in place the first uniform, national standards to protect senior investors. Firms are now required to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer’s account. In addition, the rule permits FINRA member firms to place a temporary hold on a disbursement of funds or securities when there is a reasonable belief of financial exploitation, and to notify the trusted contact of the temporary hold.

  • Cboe FX Reports Record ADV Of $42.6 Billion In January

    Date 05/02/2018

    • January 2018 average daily volume (ADV) increases 44.2% year-on-year
    • Sets new one-day record of $68.4 billion traded on 25th January, of which a record $15.3 billion was transacted on the Cboe FX London matching engine
    • Cboe FX London matching engine sets new month record with ADV of $9.1 billion, up 261% year-on- year

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