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UK Financial Conduct Authority Statement On Contract For Difference Products And CP16/40

Date 29/06/2017

This statement provides an update on the Financial Conduct Authority’s (FCA) policy work on contract for difference products (CFDs) and CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients.
HKEX And CGSE Sign MOU

Date 29/06/2017

Hong Kong Exchanges and Clearing Limited (HKEX) and The Chinese Gold and Silver Exchange Society (CGSE) today (Thursday) signed a Memorandum of Understanding (MOU) to consider cooperation on matters ranging from product promotion to storage vaults.
US Department Of Justice: Former State Street Corporation Executive Pleads Guilty In Scheme To Defraud Clients Through Secret Trading Commissions

Date 29/06/2017

A former executive of Boston-based State Street Corporation pleaded guilty today to conspiring to defraud at least six of the bank’s clients through secret commissions applied to billions of dollars of securities trades.
Policy Panel: Investment And Growth In Advanced Economies - Remarks Given By, Mark Carney, Governor Of The Bank Of England 2017 ECB Forum On Central Banking, Sintra, 28 June 2017

Date 28/06/2017

The experience of business investment in the UK since the onset of the financial crisis broadly matches that elsewhere in the advanced world – a sharp fall followed by a feeble recovery (Chart 1). Peak to trough, the level of UK business investment fell by 20%, and it was six years before it surpassed its pre-crisis level, putting the recent experience at the bottom of the swathe of past UK cycles.
Bats Welcomes Second TrimTabs ETF To Bats ETF Marketplace - 35 Issuers, 180 Funds Now Listed On Bats In The U.S.

Date 28/06/2017

Bats, a CBOE Holdings, Inc. company, and a leading market for exchange-traded products (ETP) trading globally, today welcomes a new TrimTabs’ ETF to the Bats ETF Marketplace.

Federal Court In North Carolina Orders Tracy Lee Thomas And His Company, Marbury Advisors Inc., To Pay More Than $4.4 Million For Fraudulently Soliciting Customers

Date 28/06/2017

The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Loretta C. Biggs of the U.S. District Court for the Middle District of North Carolina entered an Order of Final Judgment by Default (Order) against Defendants Tracy Lee Thomas (a/k/a Treyton L. Thomas, a/k/a Trayton L. Thomas, a/k/a Trey Thomas, a/k/a Tray Thomas, a/k/a T.L. Thomas), formerly of Naples, Florida, and Marbury Advisors Inc. (Marbury), a Cayman Islands corporation. The Court’s Order finds that the Defendants had fraudulently solicited over $ 1.1 million from customers, lost those funds trading, and provided customers with false reports or statements indicating their investments were profitable.
Federal Reserve Releases Results Of Comprehensive Capital Analysis And Review (CCAR)

Date 28/06/2017

The Federal Reserve Board on Wednesday announced it has completed its review of the capital planning practices of the nation's largest banks and did not object to the capital plans of all 34 bank holding companies participating in the Comprehensive Capital Analysis and Review (CCAR). However, the Board is requiring one firm to address weaknesses in its capital planning process and resubmit its capital plan by the end of 2017.
CFTC Swaps Report Update

Date 28/06/2017

CFTC's Weekly Swaps Report has been updated, and is now available.
Joint ISDA And GFMA Publication Highlights The Pressing Need For Market Participants To Obtain A Legal Entity Identifier (LEI) For Existing And Forthcoming Regulatory Mandates

Date 28/06/2017

A wide universe of market participants will shortly be required to have an LEI under forthcoming European regulation; this will apply to non-EU entities in many cases. Other regulators, including those in the US and Asia-Pacific, already require market participants to obtain LEIs. Firms large and small need to act now to ensure they comply
Nasdaq’s Directors Desk® And Boardvantage® To Introduce Board Assessments And Compliance Questionnaires - A Unique Collaboration Between Nasdaq Corporate Solutions And The Center For Board Excellence

Date 28/06/2017

Nasdaq Corporate Solutions, a business of Nasdaq, Inc. (Nasdaq:NDAQ), announced today a new partnership with The Center for Board Excellence (CBE), a provider of board assessments and compliance questionnaires. In the first phase of the partnership, Nasdaq Corporate Solutions will facilitate introductions for users of Directors Desk and Boardvantage – Nasdaq’s board portal and meeting management solutions – to CBE’s cloud-based corporate governance solutions including: board and committee assessments; director peer assessments; CEO and management evaluations; and directors’ & officers’ questionnaires. Later this year, the parties plan to offer an integrated workflow between Nasdaq’s board portal solutions and CBE’s EnGauge™ platform, making it even easier for users to elect to benefit from these CBE offerings.