News Centre

SEC Names Anita Bandy And Carolyn Welshhans As Associate Directors In Enforcement Division

Date 06/09/2018

The Securities and Exchange Commission today announced that Anita B. Bandy and Carolyn M. Welshhans have been named Associate Directors in the SEC’s Division of Enforcement.  In their new roles, Ms. Bandy and Ms. Welshhans will each supervise approximately 40 attorneys, paralegals, and staff responsible for investigating a wide variety of securities law violations.

TMX Group Consolidated Trading Statistics – August 2018

Date 06/09/2018

TMX Group Limited today announced August 2018 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange (Alpha) and Montréal Exchange (MX).

Cboe Global Markets Reports August 2018 Trading Volume

Date 06/09/2018

Cboe Global Markets, Inc. (Cboe: CBOE | Nasdaq: CBOE), one of the world’s largest exchange holding companies, today reported August monthly trading volume and average revenue per contract (RPC)/net revenue capture data at www.cboe.com/monthlyvolrpc.

SEC Awards More Than $54 Million To Two Whistleblowers

Date 06/09/2018

The Securities and Exchange Commission is awarding $39 million to one whistleblower and $15 million to another whose critical information and continued assistance helped the agency bring an important enforcement action.  The $39 million award is the second-largest award in the history of the SEC’s whistleblower program.

Ten Years After Lehman: How Accountants Can Make Finance Safer - Speech By Charles Randell, Chair, Financial Conduct Authority And Payment Systems Regulator, Delivered At ICAEW Canary Wharf Members’ Club

Date 06/09/2018

Highlights:

• The financial crisis raised a fundamental question for the accounting profession and for others: what are financial statements for?
• Ten years on from the height of the financial storm is a good moment to reflect on whether we have answered that fundamental question.
• Good quality financial statements are a key building block of effective prudential regulation of these firms.
• The accounting profession can help to guide firms to put business model analysis and consideration of long-term viability at the heart of their corporate reporting. 

Remarks By CFTC Chairman J. Christopher Giancarlo At The Eurofi Financial Forum, Vienna, Austria

Date 06/09/2018

Good evening.  It is my great pleasure to be here again at Eurofi.  I wish to thank David Wright, Didier Cahan and Marc Truchet for organizing once again a great conference.  Thanks also to our Austrian colleagues for their gracious hospitality.

Andrew Bailey Introductory Speech On Multilateralism And Global Coordination: A Case For Balancing Autonomy And Co-Operation In The Interests Of Financial Markets - Speech By Andrew Bailey, Chief Executive Of The FCA, At The Eurofi Financial Forum, On Multilaterialism And Global Coordination

Date 06/09/2018

Highlights

• It would be a mistake to move away from open financial markets as they are needed to support trade in goods and services.
• A commitment to cross-border cooperation allows for standards to be set domestically where international standards do not exist.
• Some in the EU are suggesting that EU financial activity must take place in the EU, at a time when other countries internationally are removing unnecessary location policies.

EBA Publishes QIS Templates To Be Used In Assessing The Impact Of The Finalised Basel III Standards In 2018

Date 06/09/2018

The European Banking Authority (EBA) released today the two sets of templates, which will be used in the 2018 impact assessment of the finalised Basel III standards. These two sets of quantitative impact study (QIS) templates, which build on the Basel III regular monitoring templates, will ensure that the data collection burden is proportionate to the institutions' size and complexity.   

Erik Thedéen Finansinspektionen's Director General: Higher Countercyclical Capital Buffer?

Date 06/09/2018

A speech given by Erik Thedée, FI's Director General, at the UBS Annual Nordic Financial Services Conference in Stockholm today.

UBS MTF Market Notice Transfer Of UBS MTF Operator From UBS Limited To UBS AG London Branch

Date 06/09/2018

UBS MTF is writing to advise you of the changes that it is making to its legal structure in preparation for Brexit.

Transfer of UBS MTF Operation to UBS AG London Branch

In March 2018, UBS announced that UBS Limited (UBSL) will merge into its German subsidiary, UBS Europe SE

(UBS ESE), before 29 March 2019. Upon the merger, UBSL will be dissolved by operation of law.