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IIROC Releases Latest Compliance Priorities Report - Emphasis On Risk Management, Cybersecurity And Conflicts Of Interest In 2018
Date 18/01/2018
The Investment Industry Regulatory Organization of Canada (IIROC) today published its annual Compliance Priorities Report, highlighting the past year's compliance and registration achievements and areas of focus for the year ahead.
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Office Of The Comptroller Of The Currency Report Discusses Key Risks For Federal Banking System
Date 18/01/2018
The Office of the Comptroller of the Currency (OCC) today reported credit, operational, and compliance risks are key concerns for the federal banking system in its Semiannual Risk Perspective for Fall 2017.
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FINRA Publishes Budget Summary And Financial Principles For First Time - Increases Transparency Into Budget - Includes No Fee Rate Increases For Member Firms
Date 18/01/2018
The Financial Industry Regulatory Authority today published for the first time its Financial Guiding Principles and a summary of its budget for the coming year. The additional transparency supplements the audited annual financial report FINRA has long published, responds to feedback received during CEO Robert W. Cook’s listening tour and is another important outcome of the ongoing FINRA360 organizational review.
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Office of Financial Research Update: Financial System Vulnerabilities Monitor
Date 18/01/2018
The Office of Financial Research has updated the Financial System Vulnerabilities Monitor with data from the third quarter of 2017. A starting point for monitoring U.S. financial stability, the FSVM is a heat map of 58 indicators of potential vulnerabilities in the U.S. financial system. The monitor is organized in six categories: macroeconomic, market, credit, solvency and leverage, funding and liquidity, and contagion.
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EGX Chairman Holds A Meeting With The Bank Of Alexandria CEO
Date 18/01/2018
EGX Chairman, Mr. Mohamed Farid, held a meeting today with Mr. Dante Campioni, Chief Executive Officer, Managing Director and Board Member of Alexbank, in the presence of Mr. Tamer Seif El Din, Head of the SMEs Credit Sector at the Bank. The aim of the meeting was to discuss ways of enhancing cooperation in the development and rehabilitation of small and medium enterprises.
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Saudi Stock Exchange: Applying The New Amendment For Price Limit Validation On Incoming Orders
Date 18/01/2018
In reference, to the previous announcement regarding adjusting the price limit validation on incoming orders for shares, the Saudi Stock Exchange (Tadawul) announces that the new amendment will be effective as of Sunday 21/01/2018.
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Swiss State Secretariat For International Financial Matters: Blockchain/ICO Working Group Established
Date 18/01/2018
The State Secretariat for International Financial Matters (SIF) has established a blockchain/ICO working group, which will review the legal framework and identify any need for action with the involvement of the Federal Office of Justice (FOJ), the Swiss Financial Market Supervisory Authority (FINMA) and in close consultation with the sector.
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IOSCO Board Communication On Concerns Related To Initial Coin Offerings (ICOs)
Date 18/01/2018
Initial Coin Offerings (ICOs, also known as token sales or coin sales), typically involve the creation of digital tokens – using distributed ledger technology – and their sale to investors by auction or through subscription, in return for a crypto-currency such as Bitcoin or Ether (or more rarely for government-backed or official fiat currency (such as the US Dollar or the Euro)). These offerings are not standardized, and their legal and regulatory status is likely to depend on the circumstances of the individual ICO.
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Exactpro Announces Management Buyout From London Stock Exchange Group
Date 18/01/2018
Exactpro Systems Limited and its subsidiaries ("Exactpro"), announce that EXPLORE123 Limited, a company incorporated by the founders of Exactpro, has completed the acquisition of Exactpro from the London Stock Exchange Group ("LSEG") on undisclosed terms.
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Hong Kong's Securities And Futures Commission: Court Finds No Insider Dealing In Integrated Distribution Services Group Share
Date 18/01/2018
The Eastern Magistrates’ Court today found that Mr Lam Yik Tung, a former employee of BNP Paribas Capital (Asia Pacific) Limited, and his friends – Mr Chan Lit Chun and Mr Anson Mui Ka Leung – were not guilty of insider dealing in the shares of Integrated Distribution Services Group Limited (IDS) in 2010.
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