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Date 18/12/2015
CFTC Approves Final Rule On Records Of Commodity Interest And Related Cash Or Forward Transactions
The U.S. Commodity Futures Trading Commission today unanimously approved a final rule to amend Commission Regulation 1.35(a) relating to recordkeeping obligations for certain market participants.
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Date 18/12/2015
Bursa Malaysia Sector Update
Bursa Malaysia Berhad (Bursa Malaysia) has decided to update the classification of sector for Pensonic Holdings Berhad (“Pensoni”) to come into effect on 9.00 a.m., Wednesday, 23 December 2015.
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Date 18/12/2015
SGX Reports 2Q Results On 20 January 2016
Singapore Exchange (SGX) is reporting second-quarter results for Financial Year 2016 (FY2016) after the market closes on 20 January 2016.
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Date 18/12/2015
FINRA Sanctions Fidelity Brokerage Services LLC $1 Million For Supervisory Failures - Firm Failed To Follow Up On Red Flags To Detect Or Prevent Theft Of Funds From Senior Investors By Fraudster Posing As Fidelity Broker
The Financial Industry Regulatory Authority (FINRA) announced today that it fined Fidelity Brokerage Services LLC $500,000 and ordered the firm to pay nearly $530,000 in restitution for failing to detect or prevent the theft of more than $1 million from nine of its customers, eight of whom were senior citizens. Lisa Lewis posed as a Fidelity broker, obtained her victims' personal information, and systematically stole customer assets through numerous transfers and debit-card transactions.
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Date 18/12/2015
ESMA Publishes Report On Proxy Advisors’ Best Practice Principles
The European Securities and Markets Authority (ESMA) today published its Follow-up Report on the development of the ‘Best Practice Principles for Providers of Shareholder Voting Research and Analysis (Principles) which looks at the proxy advisory industry’s progress in establishing and following a self-regulatory code of conduct.
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Date 18/12/2015
EBA Consults On Draft Guidelines On Stress Testing
The European Banking Authority (EBA) launched today a consultation on its draft Guidelines on stress testing. These Guidelines set out expectations for institutions' stress testing programmes and seek improvements by drawing on lessons from previous stress test exercises. In addition, they aim at promoting convergence of the use of stress testing in the context of the supervisory review and evaluation process (SREP). The consultation runs until 18 March 2016.
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Date 18/12/2015
EPEX SPOT To Report Trading Data To ElCom
The European Power Exchange EPEX SPOT today announces the go-live of its data reporting mechanism in Switzerland. EPEX SPOT now delivers data for ElCom, the Swiss electricity regulator, on transactions completed by its Swiss-based market participants.
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Date 18/12/2015
Hong Kong's Securities And Futures Commission Authorizes First Batch Of Funds Under Mainland-Hong Kong Mutual Recognition Of Funds Initiative
The Securities and Futures Commission (SFC) today granted authorization for the first batch of four Mainland funds under the Mainland-Hong Kong Mutual Recognition of Funds (MRF) initiative for public offering in Hong Kong.
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Date 18/12/2015
ACER Launches New Feedback Tool For Official Documents
As of today, the Agency for the Cooperation of Energy Regulators (ACER) is making available to stakeholders, interested parties and the general public a feedback tool included in ACER opinions, recommendations and publications, which next year will be available in all ACER documents. You will be able to rate our deliverables in terms of relevance and quality, and share your views with us, so that we can take them on board for the preparation of future documents and publications.
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Date 18/12/2015
ESMA Publishes Its CRA Market Share Calculation
The European Securities and Markets Authority (ESMA) has published its annual market share calculation for EU registered credit rating agencies (CRAs).
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