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FINRA Reports On Effective Practices For Digital Investment Advice

Date 15/03/2016

Financial services firms' offerings of digital investment advice need sound governance and supervision, including effective means of overseeing suitability of recommendations, conflicts of interest, customer risk profiles and portfolio rebalancing, according to a new report from the Financial Industry Regulatory Authority (FINRA). The report also outlines lessons for investors and says training and education are crucial for financial professionals who use digital investment advice tools.
Volcker Rule CEO Attestation Delivery Method Announced

Date 15/03/2016

The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission (CFTC) today announced that certain banking entities subject to Appendix B of Part 75 of the Commission’s regulations should submit their CEO attestations through the following email address:VolckerAttestation@cftc.gov .
Neurensic And Catelas Deliver Integrated Holistic Surveillance Offering

Date 15/03/2016

Catelas®, the leading provider of ‘eComms Surveillance’ solutions, and Neurensic, a funded startup with artificial intelligence-powered compliance tools, announced at SIFMA's Compliance & Legal Society 48th Annual Seminar and FIA’s Inte rnatio nal Futures Industry Conference (Boca) a new partnership to deliver an integrated holistic surveillance solution for asset managers, hedge funds, broker-dealers, exchanges, and regulators.
Kinetix Secures Legal Approval For US/EU Regulatory Engine

Date 15/03/2016

Kinetix Trading Solutions, a Compliance and Trade Management solutions provider to capital markets firms, has secured legal approval for its Rules Engine for the EMIR and Dodd-Frank Act regulatory frameworks. Importantly, this allows derivatives market participants to ensure that their trades can be validated with confidence in advance of the mandatory European clearing deadlines that go into effect this June.
UK's Financial Conduct Authority: Phillip Boakes Sentenced For Failing To Pay Confiscation Order

Date 15/03/2016

Today, Phillip Boakes was sentenced to 730 days’ imprisonment for failing to satisfy the full value of a confiscation order made against him.

ICE Clear Credit Launches Asian Corporate Index And Sovereign CDS Clearing - YTD Buy Side Single Name Notional Amount Cleared Surpasses Total 2015 Notional

Date 15/03/2016

Intercontinental Exchange (NYSE: ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, introduced credit default swap (CDS) clearing today for the iTraxx Australia and iTraxx Asia ex-Japan Investment Grade indices, and the following sovereign names: Australia, China, Indonesia, Korea, Malaysia and the Philippines.
ETFs/ETPs Listed In The United States Have Gathered 1.53 Billion US Dollars In Net New Assets In February 2016, According To ETFGI

Date 15/03/2016

In February 2016, ETFs/ETPs listed in the United States gathered net inflows of US$1.53 Bn in February 2016, according to preliminary data from ETFGI’s February 2016 global ETF and ETP industry insights report.
European Commission Adopts Equivalence Decision For CCPs In USA

Date 15/03/2016

The European Commission grants the USA the equivalent regulatory regime for central counterparties as the European Union.
Thai Bourse Joins SEC And Mutual Fund Participants To Launch New Fund Service Platform

Date 15/03/2016

The Stock Exchange of Thailand (SET) has signed a memorandum of understanding (MOU) with The Securities and Exchange Commission (SEC) and alliances in Thailand’s mutual fund industry. The MOU is aimed at establishing standards across end-to-end processes for mutual fund distribution. SET will implement a centralized platform, expected to be launched in early 2017.
Japan's Financial Services Agency - Stewardship Code : 205 Institutional Investors Have Signed Up To The Principles For Responsible Institutional Investors

Date 15/03/2016

The Council of Experts Concerning the Japanese Version of the Stewardship Code (Chairman: Professor Hiroyuki Kansaku, The University of Tokyo) published the Principles for Institutional Investors (Japan’s Stewardship Code) in February 27, 2014. The Council requested the FSA to publish and periodically update the list of institutional investors who announced their acceptance of the Code.