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Office Of The Comptroller Of The Currency Fines U.S. Bank National Association $15 Million For Bankruptcy Filing Violations

Date 25/04/2017

The Office of the Comptroller of the Currency (OCC) today assessed a $15 million civil money penalty against U.S. Bank National Association for bankruptcy filing violations.
SEC: Broker Charged With Defrauding Customers

Date 25/04/2017

The Securities and Exchange Commission today charged a former broker with knowingly or recklessly trading unsuitable investment products in the accounts of five customers and misappropriating more than $170,000 from one of those customers.
Canadian Securities Regulators Seek Comment On Potential Oversight Requirements For Foreign Audit Firms

Date 25/04/2017

The Canadian Securities Administrators (CSA) today published for comment CSA Consultation Paper 52-403 Auditor Oversight Issues in Foreign Jurisdictions (Consultation Paper), which seeks input on whether certain oversight requirements should be introduced for audits done by foreign firms.
SEC Awards Nearly $4 Million To Whistleblower

Date 25/04/2017

The Securities and Exchange Commission today announced an award of nearly $4 million to a whistleblower who tipped the agency with detailed and specific information about serious misconduct and provided additional assistance during the ensuing investigation, including industry-specific knowledge and expertise.
European Union: High-Level Response To JC Discussion Paper 2016 86 On The Use Of Big Data By Financial Institutions

Date 25/04/2017

The SMSG’s overall view of the Big Data phenomenon is consistent with the analysis of its potential benefits and risks identified in the JC Discussion Paper. The use of Big Data by financial institutions has the undisputed potential to improve the variety and quality of service provision; at the same time, the increasing use of Big Data entails a set of investor protection risks which calls for a close monitoring by supervisors.

ESMA Publishes An Opinion On MAR Accepted Market Practices On Liquidity Contracts

Date 25/04/2017

The European Securities and Markets Authority (ESMA) has published an opinion on the points for convergence in relation to accepted market practices (AMP) under the Market Abuse Regulation (MAR) on liquidity contracts. These agreed points are expected to be used as a reference in the assessment of the MAR AMPs on liquidity contracts that national competent authorities (NCAs) may submit to ESMA after a domestic consultation and on which ESMA will have to issue an opinion.
London Stock Exchange Group Plc Transaction In Own Shares

Date 25/04/2017

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:
Irish Stock Exchange Is Well-Positioned To Benefit From Global Growth In Aviation Financing

Date 25/04/2017

Gerard Scully, who leads the Irish Stock Exchange's International Primary Markets listings business, writes about the ISE's offering to the aircraft financing sector.
CFTC Adds 71 Names To Its List Of Foreign Entities That Illegally Solicit U.S. Residents To Trade Binary Options And Forex - Registration Deficient (RED) List On CFTC Website Identifies Entities Operating Illegally Without Being Registered

Date 25/04/2017

As part of the U.S. Commodity Futures Trading Commission’s (CFTC) ongoing efforts to help protect Americans from fraud, today the CFTC added 71 new names to the RED List. These 71 new additions bring the total number of foreign entities on the RED List to over 110.
Corrected: OpenDoor Re-Boots U.S. Treasury Market With Dedicated All-To-All Trading Platform

Date 25/04/2017

OpenDoor Securities (“OpenDoor”) is today launching the first trading platform dedicated to improving liquidity in the less liquid segments of the U.S. Treasury bond market. Nearly three dozen firms representing more than $5 trillion of AUM and six sponsor-dealers are already onboarded to participate.