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EBA Consults On Guidelines On The Overall Recovery Capacity In Recovery Planning

Date 14/12/2022

The European Banking Authority (EBA) today published a consultation paper on its draft Guidelines on the overall recovery capacity (ORC) in recovery planning. The Guidelines aim to set up a consistent framework for the determination of the ORC by institutions in their recovery plans and the respective assessment by competent authorities. The consultation runs until 14 March 2023.
SEC Charges Eight Social Media Influencers In $100 Million Stock Manipulation Scheme Promoted On Discord And Twitter

Date 14/12/2022

The Securities and Exchange Commission today announced charges against eight individuals in a $100 million securities fraud scheme in which they used the social media platforms Twitter and Discord to manipulate exchange-traded stocks.
CME Group Announces 2023 Annual Meeting Date

Date 14/12/2022

CME Group Inc. (NASDAQ: CME), the world's leading derivatives marketplace, today announced it will conduct its 2023 annual meeting of shareholders at 10:00 a.m. Central Time on Thursday, May 4, 2023. Additional information will be provided in the company's proxy statement.
Borsa Istanbul: Announcement About The Changes In The BIST Gold Denominated Indices Methodology

Date 14/12/2022

Please click for the relevant Announcement.
FSB Proposes Strengthening The Liquidity Management Framework For Open-Ended Funds

Date 14/12/2022

The Financial Stability Board (FSB) today published its Assessment of the effectiveness of the FSB’s 2017 recommendations on liquidity mismatch in open-ended funds (OEFs). The assessment, which forms part of the FSB’s work programme to enhance the resilience of non-bank financial intermediation (NBFI), includes proposals for further policy work in this area.

Borsa İstanbul’s Opening Bell Rang For Platform Turizm

Date 14/12/2022

The Initial Public Offering of Platform Turizm Taşımacılık Gıda İnşaat Temizlik Hizmetleri Sanayi ve Ticaret A.Ş. has been completed. Shares offered to the public listed on BIST STARS with a base price of 9.10 TL, the ticker code “PLTUR” and the continuous trading method.
Fennel Financials Turns to Eventus For Trade Surveillance On New ESG-Focused Equity Investing Platform

Date 14/12/2022

Eventus, a leading global provider of multi-asset class trade surveillance and market risk solutions, and Fennel Financials LLC, which just launched an Environmental, Social and Governance (ESG)-focused platform offering retail investors access to tools to better engage with companies, today announced that Fennel has chosen to deploy the Eventus Validus platform for all of its trade surveillance activities. Fennel will also be using the platform’s anti-money laundering (AML) capabilities.
Amid A Volatile Market, Financial Advisors Are Finding Ways To Generate New AUM - Capitalizing On Digital Marketing Is The Key To Growth For RIAs And IBDs - Survey Shows

Date 14/12/2022

The fourth-annual financial advisor marketing survey by global Fintech leader, Broadridge Financial Solutions, Inc. (NYSE: BR), reveals that 63% of advisors are actively seeking new clients but only 43% are experiencing increases in inbound prospect requests. Market volatility, increasing compliance and regulatory pressures, and a competitive landscape for wealth management service professionals continue to challenge Independent Broker-Dealers (IBDs) and Registered Investment Advisors (RIAs) and requires them to find innovative new solutions to generate business.
ESMA Promotes Clarity To Market Participants On Best Execution Reporting

Date 14/12/2022

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is issuing a Public Statement to promote coordinated action by National Competent Authorities (NCAs) under MiFID II.
ESMA Provides Guidance For Supervision Of Cross-Border Activities Of Investment Firms

Date 14/12/2022

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today publishes a Supervisory Briefing to ensure convergence across the European Union (EU) in the supervision of the cross-border activities of investment firms.