News Centre

SIFMA Appoints Joseph L. Seidel COO

Date 27/09/2018

SIFMA today announced it has appointed Joseph L. Seidel as chief operating officer.  Mr. Seidel joins SIFMA from Credit Suisse where he served as managing director and senior counsel, head of U.S. Public Policy.  Mr. Seidel will report to SIFMA president and CEO Kenneth E. Bentsen, Jr. and will manage day to day operations of the Association, including core legal, regulatory, business practices, public policy and communications activities.  Mr. Seidel will start at SIFMA on November 19th.

Alberta’s Largest Companies Continue To Report Highest Participation Of Women On Boards

Date 27/09/2018

The Alberta Securities Commission (ASC) today participated in the publication of CSA Multilateral Staff Notice 58-310 Report on Fourth Staff Review of Disclosure regarding Women on Boards and in Executive Officer Positions.

ESMA Updates The CSDR Q&As

Date 27/09/2018

The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers (Q&As) regarding the implementation of the Central Securities Depository Regulation (CSDR).

Lacey Dingman, Chief Human Capital Officer And Director Of Human Resources, To Leave SEC

Date 27/09/2018

The Securities and Exchange Commission today announced that Lacey Dingman, the Chief Human Capital Officer (CHCO) and Director of the Office of Human Resources (OHR), will leave the agency at the end of September.

ESMA Updates Its Q&As Regarding The Benchmark Regulation

Date 27/09/2018

The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers (Q&As) on the Benchmarks Regulation (BMR).

Online Marketers Charged With Conning Main Street Investors Through Rags-To-Riches Infomercials - SEC Issues Video Warning To Investors

Date 27/09/2018

The Securities and Exchange Commission today charged a group of internet marketers who allegedly created and disseminated elaborate rags-to-riches videos to trick retirees and other retail investors into opening brokerage accounts and trading high-risk securities known as binary options. 

Danske Bank Whistleblower Demands Protection

Date 27/09/2018

Internationally respected whistleblower lawyers have demanded that law enforcement authorities in Estonia and Denmark take immediate action to protect the Danske Bank whistleblower Howard Wilkinson. The whistleblower lawyers’ letter, was triggered by a leak to an Estonia newspaper revealing for the first time the identity of the whistleblower. A copy of the letter is linked here.

Financing Growth In The EU - Speech By Verena Ross, Executive Director, ESMA, At The EBS

Date 27/09/2018

I am delighted to be here at the European Banking Summit to discuss the role of banks in financing growth in Europe, and I want to thank the European Banking Federation for inviting me to speak today.

ESMA Publishes Final Report Amending RTS On The Clearing Obligation For Intragroup Transactions

Date 27/09/2018

The European Securities and Markets Authority (ESMA) has today published its Final Report on the Clearing Obligation under EMIR (no 6). The report presents a new set of draft regulatory technical standards (RTS) on the clearing obligation. The draft RTS relate to the deferred date of application for the treatment of certain intragroup transactions concluded with a third country group entity.

BME Takes Financial Education Onto The Street - On 1st October, For The Third Year Running, BME Will Answer People's Questions About Investments In Securities Markets

Date 27/09/2018

• The initiative is part of "Financial Education Day", which the CNMV (Spanish Securities Market) and the Bank of Spain have organised for the past four years with collaboration from BME
• It takes place simultaneously in four major Spanish cities: Madrid, Barcelona, Bilbao and Valencia
• The events in 2016 and 2017 saw participation from just over 1,000 people