News Centre

UK's Financial Conduct Authority: Two Plead Guilty To Insider Dealing

Date 30/11/2016

In a case brought by the Financial Conduct Authority (FCA) Manjeet Mohal and Reshim Birk have today pleaded guilty to three counts of insider dealing on day three of their trial at the Central Criminal Court. They will be sentenced on 13 January 2017.

Bank Of England Statement On Polymer Banknotes

Date 30/11/2016

The Bank of England aware of some people’s concerns about traces of tallow in our new five pound note. We respect those concerns and are treating them with the utmost seriousness.

TSX Venture Insight

Date 30/11/2016

Welcome to the 7th edition of TSX Venture Insight

Click here to access TSX Venture Insight

United Kingdom Parliament Treasury Committee Update: Letter From Philip Hammond, Chancellor Of The Exchequer, Regarding Government Reassurances Provided To Nissan, Dated 29 November 2016

Date 30/11/2016

MNI Chicago Business Barometer: November Chicago Business Barometer Up 7.0 Points To 57.6 - New Orders Increase To The Highest Since June

Date 30/11/2016

The MNI Chicago Business Barometer rose 7.0 points to 57.6 in November from 50.6 in October, the highest since January 2015.

FINRA Sanctions Merrill Lynch $7 Million For Inadequate Supervision Of Securities-Backed Leverage In Customer Brokerage Accounts - Restitution Also Paid To 22 Customers Who Were Highly Concentrated And Highly Leveraged In Puerto Rican Securities

Date 30/11/2016

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $6.25 million and the firm will pay approximately $780,000 in restitution for inadequately supervising its customers’ use of leverage in their Merrill brokerage accounts. 

CFTC Grants CME Clearing Europe Registration As A Derivatives Clearing Organization

Date 30/11/2016

The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has issued an order granting CME Clearing Europe Limited (CMECE) registration as a derivatives clearing organization (DCO) under the Commodity Exchange Act (CEA).

Conduct Risk In FX Markets - Speech By Edwin Schooling Latter, Head Of Markets Policy At The FCA, Delivered At FX Week Europe

Date 30/11/2016

Highlights:

• In July 2016 we published details from supervisory work with 30 major firms to improve conduct in wholesale FX markets. We expect all firms active in these markets to consider and address conduct risks identified.
• The FX Global Code is an opportunity to set higher minimum standards in areas where conduct risk persists.
• The Code will be a key component of market conduct standards that staff in authorised firms will have to observe under the Senior Managers Regime.

FTSE China Index Series Quarterly Review

Date 30/11/2016

• One addition to the FTSE China A50 Index in this review period
• No changes to the FTSE China 50 Index

Intercontinental Exchange Chairman & CEO Jeffrey C. Sprecher To Speak At Goldman Sachs US Financial Services Conference On December 7

Date 30/11/2016

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, announced today that Jeffrey C. Sprecher, Chairman and CEO will speak at the Goldman Sachs US Financial Services Conference. The presentation will take place on Wednesday, December 7 at 10:50 a.m. ET. The presentation will be broadcast live over the Internet and can be accessed in the investor relations and media section of ICE’s website at http://ir.theice.com/.