News Centre

FINRA: National Adjudicatory Council Introduces New Sanction Guidelines

Date 10/04/2017

The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council (NAC) revised the Sanction Guidelines to include a new principal consideration that contemplates coverage for financial exploitation of vulnerable individuals or individuals with diminished capacity. It also includes three new guidelines relating to systemic supervisory failures, borrowing and lending arrangements, and short interest reporting. Additionally, the NAC revised the guidance concerning sanctions imposed by other regulators, indicating that these sanctions may be considered as mitigating factors.

ESMA Clarifies CCPs’ Portfolio Margining Under EMIR

Date 10/04/2017

The European Securities and Markets Authority (ESMA) has issued today an opinion regarding the implementation on portfolio margining requirements for central counterparties (CCPs) under the European Market Infrastructure Regulation (EMIR).

FTSE Russell Launches New Global Sector Indexes Hedged To Canadian Dollar

Date 10/04/2017

• New index suite for Canadian market participants that captures targeted exposure to global sectors while applying a rules-based methodology to minimize associated currency risk 
• Indexes measure large and mid cap companies in global sectors of developed countries of the Russell Global Index Series
• BMO Global Asset Management launches 4 sector ETFs tracking these indices

London Stock Exchange Group Plc Transaction In Own Shares

Date 10/04/2017

London Stock Exchange Group plc (the "Company") announces that it has purchased through Barclays Capital Securities Limited, in accordance with the authority granted by shareholders at the Company's Annual General Meeting on 27 April 2016, the following number of its ordinary shares of 6 79/86 pence each ("Shares") on the London Stock Exchange as part of the buyback programme announced on 29 March 2017:

PEGAS Market Trading Around Good Friday And Easter Monday 2017

Date 10/04/2017

PEGAS Futures Markets (including the OTC Clearing web platform and STP) will be closed on Good Friday (April 14) and Easter Monday (April 17).

Fidessa Named Best Front-Office Execution Platform In Waters Sell-Side Technology Awards - Collects The Award For The Third Consecutive Year

Date 10/04/2017

Fidessa group plc (LSE: FDSA) today announced that it has been named Best Front-Office Execution Platform in the 2017 Waters Sell-side Technology Awards, the third consecutive win for Fidessa in this category.

MNI PINCH - Probabilty Of INterest Rate CHange

Date 10/04/2017

Following last week's Central Banks paper releases and members comments, MNI PINCH sees markets pricing in a lower probability of interest rates rising in the Eurozone and UK, while slightly higher in US.Please see below MNI PINCH calculation of probabilities of interest rate change:

The Saudi Arabia Capital Market Authority (CMA) License Fitch Australia PTY Limited

Date 10/04/2017

As part of CMA's responsibility to supervise, regulate, and develop credit rating activities in the Kingdom, further to its announcement dated 21/9/1436H corresponding to 8/7/2015G, regarding the CMA starting receiving applications to conduct credit rating activity and based on the related provisions set out in the Credit Rating Agencies Regulation, the CMA Board of Commissioners has  issued its resolution authorizing " Fitch Australia PTY Limited " to conduct credit rating activities in the Kingdom. 

Viteos Awarded Best Global Shadow Accounting Firm 2017 From Hedgeweek Global Awards

Date 10/04/2017

Viteos, a leading global hedge fund middle office and accounting firm, announced today it has been awarded Best Global Shadow Accounting Firm in the Hedgeweek Global Awards 2017.

OCC Names Former BNY Mellon Executive David Ridgway As Senior Vice President, Enterprise Risk Management

Date 10/04/2017

OCC, the world's largest equity derivatives clearing organization, today announced the appointment of David Ridgway, a former senior risk management executive with BNY Mellon, as Senior Vice President, Enterprise Risk Management. Ridgway reports to John Fennell, Executive Vice President and Chief Risk Officer.