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SEC Awards Over $28 Million To Whistleblower

Date 03/11/2020

The Securities and Exchange Commission today announced an award of over $28 million to a whistleblower who provided significant information that aided the SEC in bringing a successful enforcement action. The whistleblower internally reported information that prompted the company to initiate an internal investigation, and saved the staff time and resources by providing testimony and identifying a key witness.

Moscow Exchange: Risk Parameters Change For The Securities

Date 03/11/2020

The following risk parameters will be changed:

Market Risk Rate of the first, second and third level – S_1(2,3)_min

Ticker	Minimum Initial Margin for the Market Risk, % (S_1_min)		Minimum Initial Margin for the Market Risk, % (S_2_min)		Minimum Initial Margin for the Market Risk, % (S_3_min)		New value effective for
Ticker	Current value	New value	Current value	New value	Current value	New value	New value effective for
AAPL-RM	17%	50%	25%	58%	34%	67%	05.11.2020 - 09.11.2020
MSFT-RM	16%	50%	24%	58%	32%	66%	10.11.2020 - 19.11.2020
V-RM	16%	50%	24%	58%	32%	66%	05.11.2020 - 13.11.2020
XOM-RM	34%	50%	50%	66%	68%	84%	05.11.2020 - 12.11.2020

Nigerian Stock Exchange Announces New Date For 5th Market Data Workshop

Date 03/11/2020

The Nigerian Stock Exchange (NSE or The Exchange) has announced that the fifth edition of the NSE Market Data Workshop in partnership with InfoWARE Limited will now hold on Friday, November 13, 2020.
EBA: Discussion Paper On Management And Supervision Of ESG Risks For Credit Institutions And Investment Firms (EBA/DP/2020/03)

Date 03/11/2020
- The paper identifies for the first time common definitions of ESG risks, building on the EU taxonomy, and provides an overview of current evaluation methods.
- The paper outlines recommendations for the incorporation of ESG risks into business strategies, governance and risk management as well as supervision.
BIS: Basel Committee Reports To G20 Leaders On Basel III Implementation

Date 03/11/2020
- Basel Committee observes that further progress has been made in implementing Basel III standards.
- However, some standards have not yet come into force in some jurisdictions.
- Provides an update on Basel Framework related measures taken by members in response to Covid-19.

The EBA Launches Consultation To Incorporate ESG Risks Into The Governance, Risk Management And Supervision Of Credit Institutions And Investment Firms

Date 03/11/2020
- The paper identifies for the first time common definitions of ESG risks, building on the EU taxonomy, and provides an overview of current evaluation methods.
- The paper outlines recommendations for the incorporation of ESG risks into business strategies, governance and risk management as well as supervision.
BETTER FINANCE: Wirecard Abuse Review By ESMA Reveals Significant Failures And Conflicts Of Interests In National Financial Supervision And The Need For Effective Collective Redress For Abused Investors

Date 03/11/2020

BETTER FINANCE thanks the European Securities and Markets Authority (ESMA) for its “peer review” report on the Wirecard scandal. It is quite revealing of the many failures and conflicts of interests that can plague even the most resourced national financial supervisors.
UK Financial Conduct Authority Announces Changes To Open Banking Identification Requirements

Date 03/11/2020

The FCA has announced changes to limit the risk of disruption to open banking services after Brexit.
Proposed Divestment Of The Borsa Italiana Group To Euronext N.V. Approved By London Stock Exchange Group Plc (“LSEG Plc”) Shareholders

Date 03/11/2020

Results of LSEG General Meeting

At the LSEG General Meeting held earlier today for LSEG plc’s shareholders (“LSEG Shareholders”) to consider the proposed divestment by London Stock Exchange Group Holdings (Italy) Limited of London Stock Exchange Group Holdings Italia S.p.A. and its business (the “Borsa Italiana Group”) to Euronext N.V. (the “Transaction”), LSEG Shareholders approved the Transaction.
Shanghai Stock Exchange: Decision To Suspend The Listing Of Ant Group Co., Ltd. On The STAR Market

Date 03/11/2020

Ant Group Co., Ltd.:

Your company had previously applied to list on the STAR Market of the Shanghai Stock Exchange (SSE) on November 5, 2020. Lately, the ultimate controller, the executive Chairman, and the Chief Executive Officer of your company have been summoned to a joint regulatory interview by the relevant regulators, and your company has also reported on material matters including a change in the regulatory environment on financial technology. Due to the material matters reported, your company may no longer meet the conditions for offering and listing, or the requirements for information disclosure. According to Article 26 of the Measures for the Administration of the Registration of IPO Stocks on the Science and Technology Innovation Board (for Trial Implementation) and Article 60 of the Review Rules for Offering and Listing of Stocks at the Shanghai Stock Exchange, and after consulting the sponsors, the SSE has decided to suspend the listing of your company. Your company and your sponsors shall make public announcements according to regulations, explain the situations related to the material matters and state that your company is suspended for listing. The SSE will keep in touch with your company and the sponsors.