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SEC Adopts Rules That Increase Information Brokers Must Provide To Investors On Order Handling

Date 02/11/2018

The Securities and Exchange Commission today announced that it has voted to adopt amendments that will require broker-dealers to disclose to investors new and enhanced information about the way they handle investors’ orders.
Statement On Enhancing Order Handling Disclosures, Brett Redfearn, Director, SEC Division Of Trading And Markets, Nov. 2, 2018

Date 02/11/2018

Today, for the first time in eighteen years, the Commission has amended its order handling and routing disclosure rules for brokers. During this time, technology and innovation have transformed the manner in which stock orders are handled, routed, and ultimately executed. In 2000, a large proportion of stock orders were routed to a few, mostly manual, trading centers, and it was rare that such orders would be re-routed to other venues. Today, we have a more complex stock trading environment where computer trading algorithms, smart order routers, and complex order management systems operate in an ecosystem that is comprised of 13 stock exchanges, 47 active equity alternative trading systems, and over 200 over-the-counter market makers. Investors will now have access to new, enhanced, and standardized information about how brokers handle their orders.
SEC Charges Investment Adviser With Running $3.9 Million Fraud

Date 02/11/2018

The Securities and Exchange Commission today charged a former registered representative and investment adviser in Altoona, Pennsylvania, with operating a long-running offering fraud.
CFTC Commitments Of Traders Reports Update

Date 02/11/2018

The current reports for the week of November 02, 2018 are now available.
IIROC Secures Greater Enforcement Authority In Northwest Territories, Nunavut And Yukon - The Three Territories Join Seven Provinces In Strengthening Investor Protection

Date 02/11/2018

The Investment Industry Regulatory Organization of Canada(IIROC), today announced that the Governments of the Northwest Territories, Nunavut and Yukonhave granted IIROC with new legal authority that will protect investors by strengthening its ability to discipline wrongdoers.

SEC Charges Family Friend Of Former Investment Banker With Insider Trading

Date 02/11/2018

The Securities and Exchange Commission today charged an IT professional in Texas who allegedly participated in an insider trading scheme perpetrated by a former Wall Street investment banking analyst.
Lloyds Banking Group: EBA Stress Test Results

Date 02/11/2018

Lloyds Banking Group plc (the 'Group'), together with 47 other financial institutions across Europe has been subject to the 2018 EU-wide stress test conducted by the European Banking Authority (the 'EBA'). The stress test does not contain a pass/fail threshold but is instead designed to be used as an input into the supervisory review process by assessing banks' ability to meet applicable capital requirements under stressed conditions.
Federal Reserve Board Finalizes New Supervisory Rating System For Large Financial Institutions

Date 02/11/2018

The Federal Reserve Board on Friday finalized a new supervisory rating system for large financial institutions that is aligned with the core areas most important to supporting a large firm's safety and soundness and U.S. financial stability.
Deutsche Bank: Results Of 2018 EBA Stress Test

Date 02/11/2018

Deutsche Bank’s capital position was stronger in the EBA’s 2018 EU-wide stress test than in previous years. In the 2018 stress test, Deutsche Bank’s Common Equity Tier 1 (CET 1) ratio was 13.5% under the EBA’s ‘baseline’ scenario at the end of the stress horizon in 2020, up from 12.1% in the 2016 stress test. In the hypothetical ‘adverse’ scenario, the CET1 ratio would be 8.1%, up from 7.8%.
Finansinspektionen: Major Swedish Banks Show Resilience In EU Stress Test

Date 02/11/2018

The major Swedish banks are resilient and have the ability to withstand a sharp deterioration in the market, according to the stress test conducted by the European Banking Authority (EBA).