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  • Statement By US Treasury Secretary Janet Yellen On The United Kingdom’s Establishment Of A Global Anti-Corruption Sanctions Regime

    Date 26/04/2021

    The United States Department of the Treasury welcomes the enactment today of the United Kingdom’s new Global Anti-Corruption Sanctions Regime, which builds upon the success of the United Kingdom’s Global Human Rights Sanctions Regime. This new sanctions regime gives the United Kingdom an authority similar to the United States’ Global Magnitsky program and Canada’s Justice for Victims of Corrupt Foreign Officials Act, which target both human rights abusers and corrupt actors.  We stand in close partnership with the United Kingdom in addressing the global challenges of corruption and illicit finance. 


  • Moscow Exchange: Risk Parameters On Securities Market - Update

    Date 26/04/2021

    CCP NCC sets the following risk parameters on Securities market starting from April 27, 2021:

    №TickerMarket risk ratesConcentration limits, unitsBan on short sellingEligible as collateral
    S_1_min S_2_min S_3_min LK_1 LK_2
    1 RU000A1030S9 27% 30% 33% 1 400 000 7 000 000 No Yes
    2 RU000A1031T5 13% 16% 19% 200 000 1 000 000 No No
    3 RU000A1031U3 13% 16% 19% 200 000 1 000 000 No No

  • Finansinspektione Introduces New Reporting System

    Date 26/04/2021

    FI has decided to replace several of our existing reporting systems with a new system with the aim of better meeting current and future legal requirements and enhancing user-friendliness for the companies that report via the systems. The new reporting system, FIDAC, will be used for both periodic and event-driven reporting.

  • Compliance, Culture And Evolving Regulatory Expectations, Speech By Mark Steward, UK Financial Conduct Authority Executive Director Of Enforcement And Market Oversight, Delivered At NYU Law School

    Date 26/04/2021

    Highlights

    • The Senior Managers Regime (SMR) has changed the way firms allocate responsibilities, align those responsibilities to relevant controls and ensure oversight as to how these controls operate down the line.
    • The 5 Conduct Questions (5CQ), which start with ‘tone from the top’, are increasingly focussing on ‘tone from within’ which requires every person in an organisation to be personally accountable and engaged. 
    • Every employee of a regulated firm is subject to individual conduct rules, which impose broad obligations. 
    • The SMR and 5CQ questions require firms to think about how a system or function might fail because of non-compliance, and they inject a sharper focus on conduct risk into the fabric of an organisation. 
    • As demonstrated by enforcement cases, failures are not necessarily failures of compliance, but the consequence of choices made by individuals. 

  • SEC Names Keo Chea As Director of Public Engagement And Aisha Johnson As Director Of Media Relations

    Date 26/04/2021

    The Securities and Exchange Commission today announced the appointments of Keo Chea as Director of Public Engagement and Aisha Johnson as Director of Media Relations. Chea joins the SEC from the Consumer Financial Protection Bureau, effective today, and Johnson will join the SEC from the office of U.S. Senator Bob Casey, D-Pa., effective May 10.


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