News Centre

ESMA Updates AIFMD And UCITS Q&As

Date 05/10/2017

The European Securities and Markets Authority (ESMA) has published updated questions and answers documents (Q&A) on the application of the Undertakings for the Collective Investment in Transferable Securities Directive (UCITS) and the Alternative Investment Fund Managers Directive (AIFMD).

EBA Publishes Work Programme For 2018

Date 05/10/2017

The European Banking Authority (EBA) published today its detailed annual work programme for 2018, describing the specific activities and tasks of the Authority for the coming year, as well as a multiannual work programme, highlighting the key strategic areas of work from 2018 to 2021.

Q3 On The Vienna Stock Exchange: Rising Prices And Turnover

Date 05/10/2017

• Average monthly turnover hits highest level since 2010 at EUR 5.5 billion
• Market capitalization at highest level since 2008, 40% higher year on year
• Heading for a new record number of orders executed on stock exchange

EBA Updated Risk Dashboard Shows Slight Improvement Of EU Banks Capital Level But NPLs Still Affect Their Profitability

Date 05/10/2017

The European Banking Authority (EBA) published today a periodical update of its Risk Dashboard summarising the main risks and vulnerabilities in the EU banking sector through a set of Risk Indicators in Q2 2017. The progress is positive, but risks remain heightened on asset quality and sustainable profitability.

ESMA Maintains Focus On Supervisory Convergence And Risk Assessment In 2018

Date 05/10/2017

The European Securities and Markets Authority (ESMA) has published its 2018 Work Programme (WP), which sets out its priorities and areas of focus for 2018 in support of its mission to enhance investor protection and promote stable and orderly financial markets.

SEC: Investment Adviser Charged In Multi-Million Dollar Options Trading Scheme

Date 05/10/2017

The Securities and Exchange Commission today charged a Westchester, New York-based investment adviser with fraud stemming from lies to retail investors about the value of their investments in a Ponzi-like scheme.

Kaizen Wins Best Compliance And Regulatory Solution At Fund Services Awards

Date 05/10/2017

Kaizen Reporting is celebrating after its ReportShield™ quality assurance testing service was awarded the Best Compliance & Regulatory Solution at this year’s Fund Services Awards, held in London this week.

Instinet Appoints Greg Treacy As Head Of International Electronic Sales

Date 05/10/2017

Instinet, LLC announced today that it has appointed Greg Treacy as Head of International Electronic Sales. Based in New York, Greg will be responsible for further expanding the firm’s delivery of algorithmic and electronic trading capabilities and services to US clients trading globally.

ACER Launches A Public Consultation On The Revision Of Electronic Formats For Reporting Under REMIT

Date 05/10/2017

The Agency published today a Public Consultation on the revision of electronic formats for transaction data, fundamental data and inside information reporting under REMIT.

TMX Group Thanksgiving Holiday Market Closures

Date 05/10/2017

Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange and Montréal Exchange will be closed on Monday, October 9, 2017 for the Thanksgiving holiday.