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Canadian Securities Regulators Adopt Rules For Over-The-Counter Derivatives Clearing

Date 19/01/2017

The Canadian Securities Administrators (CSA) today announced two new national instruments affecting over-the-counter (OTC) derivatives trading in Canada. The national instruments are part of Canada’s ongoing implementation of commitments to reform the global OTC derivatives markets.
Speech By Mark Steward, Director Of Enforcement And Market Oversight At The FCA, Delivered At The Practising Law Institute’s Annual Seminar On Securities Regulation In Europe

Date 19/01/2017

Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.
SEC: Jennifer Diamantis Named Chief Of Office Of Market Intelligence

Date 19/01/2017

The Securities and Exchange Commission today announced that Jennifer A. Diamantis has been named Chief of the Enforcement Division’s Office of Market Intelligence, which is responsible for the collection, analysis, and monitoring of the hundreds of thousands of tips, complaints, and referrals that the SEC receives each year.
The UK Financial Conduct Authority Achieves 58th Place In Stonewall’s Top 100 Employers 2017 Rankings

Date 19/01/2017

For the third consecutive year, the Financial Conduct Authority has been recognised as one of the top hundred Lesbian, Gay, Bisexual and Trans (LGBT)-friendly places to work.
SEC: Financial Company Charged With Improper Accounting And Impeding Whistleblowers

Date 19/01/2017

The Securities and Exchange Commission today announced that Seattle-based financial services company HomeStreet Inc. has agreed to pay a $500,000 penalty to settle charges that it conducted improper hedge accounting and later took steps to impede potential whistleblowers.

Hong Kong's Securities And Futures Commission Signs MoU With SEC To Enhance Supervision Of Cross-Border Regulated Entities

Date 19/01/2017

The Securities and Futures Commission (SFC) has entered into a memorandum of understanding (MoU) with the U.S. Securities and Exchange Commission (SEC) providing for consultation, cooperation and exchange of information related to the supervision and oversight of regulated entities that operate on a cross-border basis in Hong Kong and the United States of America.
African Development Bank: EUR 1 Billion 0.250% 7-Year Benchmark Transaction Due January 2024

Date 19/01/2017

On Tuesday, January 17, 2017, the African Development Bank (AfDB), rated Aaa / AAA/ AAA by Moody’s / S&P / Fitch (all stable), successfully launched a EUR 1 billion 7-year Benchmark transaction due January 24, 2024. The issue priced at 3 bps through Mid-Swaps, equivalent to a spread of 45.5 bps over the DBR 1.750% February 2024. This represents AfDB’s first ever 1 billion EUR benchmark transaction following from its debut EUR 10-year issue in October last year. Despite a heavy week of supply in the Supra, Sovereign and Agency space, AfDB took advantage of a short window of execution ahead of the ECB meeting on Thursday to bring this successful transaction to market.
CFTC’s Enforcement Division Issues New Advisories On Cooperation

Date 19/01/2017

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Enforcement today issued two new Enforcement Advisories outlining the factors the Enforcement Division will consider in evaluating cooperation by individuals and companies in the agency’s investigations and enforcement actions.
FIA Welcomes Myriam Condon As Vice President Of Member Services And Business Development

Date 19/01/2017

FIA is pleased to announce the appointment of Myriam Condon as Vice President Member Services and Business Development.
Enforcement Director Aitan Goelman To Leave CFTC

Date 19/01/2017

U.S. Commodity Futures Trading Commission (CFTC) Chairman Timothy Massad today announced that Division of Enforcement Director Aitan Goelman will leave the agency on February 3, 2017. During Mr. Goelman’s tenure, the Division brought a number of first-in-kind cases utilizing the new enforcement authorities created by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Division also imposed and collected a record amount of monetary sanctions as it fulfilled its mission of protecting investors from being victimized by fraud and manipulation, and safeguarding the integrity of the financial markets overseen by the Commission.