FTSE Mondo Visione Exchanges Index:

News Centre

Statement Of CFTC Commissioner Dan M. Berkovitz On Less Is More – Segregation Of Assets Held As Collateral In Uncleared Swap Transactions; Amendments

Date 28/03/2019

The final rule amends CFTC regulations giving certain swap counterparties the right to require initial margin segregation. I support the amendments.
Remarks At The March 2019 Investor Advisory Committee Meeting, SEC Commissioner Elad L. Roisman, March 28, 2019

Date 28/03/2019

Thank you, Chairman Clayton. And, thank you to all of the Committee members for contributing your time and expertise here today. I also want to thank the SEC staff who support the important work of this Committee.
Statement Of CFTC Commissioner Dan M. Berkovitz On Financial Surveillance Examination Program Requirements For Self-Regulatory Organizations

Date 28/03/2019

I support the targeted amendments to Commission Regulation 1.52 made in today’s final rules regarding third-party expert examinations of self-regulatory organization (“SRO”) financial surveillance programs. The amendments adopted in these final rules are an outgrowth of the Commission’s experience with Regulation 1.52 since 2013, and they maintain the Commission’s strong commitment to customer protection while modifying certain requirements found to provide no incremental regulatory benefit. The Commission’s customer protection rules are fundamental to safeguarding customer assets, promoting the safety and soundness of U.S. derivatives markets, and maintaining public confidence in our markets. I strongly support these customer protection rules.
SEC Charges New Jersey Man With Fraudulently Causing Advisory Firm To Overbill Clients

Date 28/03/2019

The Securities and Exchange Commission today filed charges against the former chief operating officer (COO) of a Commission-registered investment adviser for aiding and abetting the advisory firm’s actions to overbill its clients as part of a fraudulent scheme to improperly inflate his own pay.
Ontario Securities Commission Outlines Priorities For 2019-2020

Date 28/03/2019

The Ontario Securities Commission (OSC) today published for comment its 2019-2020 Draft Statement of Priorities. The draft includes four proposed regulatory goals with 15 priority areas where the OSC plans to focus resources and actions in the 2019-2020 fiscal year, as well as the expected outcomes.

The Canadian Securities Administrators Renew Term Of Chair And Appoint New Vice-Chair

Date 28/03/2019

The Canadian Securities Administrators (CSA) today announced that the term of CSA Chair Louis Morisset, President and CEO of the Autorité des marchés financiers, has been renewed for a further two years, until March 31, 2021. Mr. Morisset was first appointed CSA Chair in March 2015.
CFTC: Federal Court Orders Futures Trader To Pay A Penalty Of More Than $1 Million For Fraud

Date 28/03/2019

The Commodity Futures Trading Commission (CFTC) announced today that a federal court in Illinois ordered William H. Powderly IV (Powderly) of New Hope, Pennsylvania, to pay a civil monetary penalty of $1,083,138 for fraudulently soliciting customers and distributing false account statements. The Order stems from a CFTC Complaint filed on May 1, 2017. [See CFTC Press Release 7553-17]
Julie Mercer Joins Education Strategy Consultants, Cairneagle, From Deloitte

Date 28/03/2019

Cairneagle Associates are delighted to announce the appointment of Julie Mercer as Partner.
Amman Stock Exchange: The ASE Index Quarterly Review

Date 28/03/2019

The Chief Executive Officer of the Amman Stock Exchange (ASE), Mr. Nader Azar said that the ASE has conducted the periodic quarterly review of the ASE index constituents in purpose of ensuring that the ASE General Price Index reflects the market performance and the trading activity of the listed companies. By this rebalancing, the activity of listed companies in regard to trading during the last quarter has been reviewed. After that, the ASE has conducted its screening process for all listed companies using the full market capitalization of the companies and the number of trading days during last quarter.
ESMA Consults On Draft ELTIF Technichal Standards

Date 28/03/2019

The European Securities and Markets Authority (ESMA) has today opened a public consultation regarding draft supervisory technical standards (RTS) under the European Long-Term Investment Fund (ELTIF) Regulation.