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CFTC Orders Morgan Stanley & Co. LLC. To Pay $500,000 For Supervision Failures - Firm’s Failure To Implement And Maintain Adequate Systems And Procedures For Reconciliation Of Exchange And Clearing Fees Led To Customer Overcharges At Times

Date 28/09/2017

The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Morgan Stanley & Co. LLC (MSCO), a Delaware limited liability company headquartered in New York City, for failing to diligently supervise the reconciliation of exchange and clearing fees with the amounts it ultimately charged customers for certain transactions on the CME Group, ICE Futures US, and other exchanges. MSCO is registered with the CFTC as a Futures Commission Merchant and a provisionally registered Swap Dealer.
SEC Detects Brokers Defrauding Customers

Date 28/09/2017

The Securities and Exchange Commission today charged three New York-based brokers with making unsuitable recommendations that resulted in substantial losses to customers and hefty commissions for the brokers. One of the brokers agreed to pay more than $400,000 to settle the charges.
FIA Recommendations To Streamline CFTC Regulations And Enhance Market Integrity

Date 28/09/2017

FIA responded to the CFTC’s call for suggestions on simplifying and modernizing CFTC rules via Project KISS today.
ISDA: Proposed Moratoria Under The BRRD And The impact On The Universal Stay Protocol

Date 28/09/2017

The ISDA 2015 Universal Resolution Stay Protocol (Universal Stay Protocol), developed by ISDA in close coordination with the Financial Stability Board (FSB) and a number of national resolution authorities, addresses a major impediment to the resolvability of global financial institutions. By ensuring counterparties to an entity in resolution are on equal footing with respect to the exercise of default rights, regardless of the governing law of their agreements with that entity, the Universal Stay Protocol is a critical part of efforts to end ‘too big to fail’.
IMF: Global Financial Stability Report October 2017

Date 28/09/2017

Click here to view the IMF's Global Financial Stability Report October 2017.

ISDA: How Big Is The Derivatives Market?

Date 28/09/2017

ISDA’s new whiteboard animation video sets out the size of the market, explains what these measures mean, and describes some of the changes that have taken place in recent years to make the derivatives market safer and more resilient.
Andrew Calamari, Regional Director Of The SEC’s New York Office, To Leave The Agency After 17 Years Of Service

Date 28/09/2017

The Securities and Exchange Commission today announced that Andrew M. Calamari, Director of the agency’s New York Regional Office, is planning to leave the agency in October after 17 years of service.
Nadex Product Schedule For The China And Germany Holidays For The Week Of October 2, 2017

Date 28/09/2017

Due to the China holidays throughout the week of October 2, 2017, there will be no China 50 contracts listed for the entire week. Additionally, due to the Germany holiday on Tuesday, October 3, 2017, the Germany 30 contracts will have a modified trading schedule. Please refer to the Holiday Product Schedule Guidelines for specific product trading hours.
Thomson Reuters Introduces LEI Profiling Service To Ease MiFID II Preparedness - Global Legal Entity Identifier Service Answers 2018 European Regulation’s “No LEI, No Trade” Mandate

Date 28/09/2017

In answer to a requirement taking effect on Jan. 3, 2018 that investment firms uniquely identify parties to trades or transactions under Europe’s Markets in Financial Instruments Directive (MiFID II), Thomson Reuters is launching its LEI Profiling Service, a dedicated solution for financial institutions to perform a health check on their LEI (legal entity identifier) content and help them comply with MiFID II.
EGX Hosts The Second Meeting For The Fund Managers & Research Officials Of The Listed Companies

Date 28/09/2017

As part of the Egyptian Exchange's efforts to reinforce and enhance the efficiency of the market, EGX held its 2nd workshop for market participants in its Down Town Premise.