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Date 15/03/2016
Finansinspektionen - Swedish Financial Supervisory Authority - Increases Resilience In The Financial System
FI’s Board of Directors has decided to raise the countercyclical capital buffer to 2 per cent as of 19 March 2017.
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Date 15/03/2016
TMX Group: The MiG Report February 2016
Please click here for the February 2016 MiG Report.
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Date 15/03/2016
UK's Financial Conduct Authority: Former Equities Trader Pleads Guilty To Insider Dealing
Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading. He will be sentenced on 13 June 2016.
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Date 15/03/2016
SEC: Municipal Advisor Charged For Failing To Disclose Conflict - Case Is First Under Dodd-Frank Provision Creating Fiduciary Duty
The Securities and Exchange Commission today charged Kansas-based Central States Capital Markets, its CEO, and two employees for breaching their fiduciary duty by failing to disclose a conflict of interest to a municipal client. The case is the SEC’s first to enforce the fiduciary duty for municipal advisors created by the 2010 Dodd-Frank Act, which requires these advisors to put their municipal clients’ interests ahead of their own.
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Date 15/03/2016
FINRA Reports On Effective Practices For Digital Investment Advice
Financial services firms' offerings of digital investment advice need sound governance and supervision, including effective means of overseeing suitability of recommendations, conflicts of interest, customer risk profiles and portfolio rebalancing, according to a new report from the Financial Industry Regulatory Authority (FINRA). The report also outlines lessons for investors and says training and education are crucial for financial professionals who use digital investment advice tools.
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Date 15/03/2016
Volcker Rule CEO Attestation Delivery Method Announced
The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission (CFTC) today announced that certain banking entities subject to Appendix B of Part 75 of the Commission’s regulations should submit their CEO attestations through the following email address:VolckerAttestation@cftc.gov.
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Date 15/03/2016
Neurensic And Catelas Deliver Integrated Holistic Surveillance Offering
Catelas®, the leading provider of ‘eComms Surveillance’ solutions, and Neurensic, a funded startup with artificial intelligence-powered compliance tools, announced at SIFMA's Compliance & Legal Society 48th Annual Seminar and FIA’s Inte rnatio nal Futures Industry Conference (Boca) a new partnership to deliver an integrated holistic surveillance solution for asset managers, hedge funds, broker-dealers, exchanges, and regulators.
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Date 15/03/2016
Kinetix Secures Legal Approval For US/EU Regulatory Engine
Kinetix Trading Solutions, a Compliance and Trade Management solutions provider to capital markets firms, has secured legal approval for its Rules Engine for the EMIR and Dodd-Frank Act regulatory frameworks. Importantly, this allows derivatives market participants to ensure that their trades can be validated with confidence in advance of the mandatory European clearing deadlines that go into effect this June.
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Date 15/03/2016
UK's Financial Conduct Authority: Phillip Boakes Sentenced For Failing To Pay Confiscation Order
Today, Phillip Boakes was sentenced to 730 days’ imprisonment for failing to satisfy the full value of a confiscation order made against him.
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Date 15/03/2016
ICE Clear Credit Launches Asian Corporate Index And Sovereign CDS Clearing - YTD Buy Side Single Name Notional Amount Cleared Surpasses Total 2015 Notional
Intercontinental Exchange (NYSE: ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, introduced credit default swap (CDS) clearing today for the iTraxx Australia and iTraxx Asia ex-Japan Investment Grade indices, and the following sovereign names: Australia, China, Indonesia, Korea, Malaysia and the Philippines.
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