FCA Launches Further Consultations Ahead of the UK’s Exit From the EU
The Financial Conduct Authority (FCA) today published a further consultations on its approach to the UK’s exit from the EU.
November 2018
François Villeroy de Galhau: The Consequences of Brexit for the French and European Financial Sectors
Speech by Mr Governor of the Bank of France François Villeroy de Galhau: The Consequences of Brexit for the French and European Financial Sectors.
BCSC Panel Finds that B.C. Man and His Companies Facilitated Trades in Securities Without Being Registered
A British Columbia Securities Commission (BCSC) Panel Finds that B.C.
Hacking a Trillion Dollar Business
Andre McGregor is the head of security for TLDR Capital, was the latest guest on the podcast of Andrew Busch, the CFTC Chief of Market Intelligence.
STOXX Introduces ESG-X Version of STOXX Europe 600 Index
STOXX Introduces ESG-X Version of STOXX Europe 600 Index. The STOXX Europe 600 ESG-X includes a product involvement screening for controversial weapons.
UBS Securities Pays $120,000 Infringement Notice
UBS Securities Australia Limited has paid a penalty totalling $120,000 to comply with an infringement notice given by the Markets Disciplinary Panel.
FINTRAC Advisory: Financial Transactions Related to Countries Identified by the Financial Action Task Force (FATF)
November 20, 2018 – FINTRAC Advisory: Financial transactions related to countries identified by the Financial Action Task Force (FATF)
CFTC Approves a Final Rule to Amend Uncleared Swap Margin Requirements
The Commodity Futures Trading Commission (CFTC) announced today that it has approved a final rule to amend its uncleared swap margin requirements.
CFTC Commissioner Dan Berkovitz Announces Staff Appointments
CFTC Commissioner Dan Berkovitz announced that Erik Remmler will serve as Chief of Staff and Lucy Hynes will serve as Special Counsel.
Bank to Review the Monetary Policy Framework Ahead of 2021 Renewal, Says Senior Deputy Governor Wilkins
The Bank of Canada will assess a broad range of monetary policy frameworks ahead of the renewal in 2021 of the inflation-control agreement.
Kurt Gottschall Named Director of SEC’s Denver Office
The Securities and Exchange Commission today announced that Kurt L. Gottschall has been named Director of the Denver Office.
State One Stockbroking to Pay $500,000 in Connection with Failures to Comply with Market Integrity Rules
The Federal Court has ordered State One Stockbroking Limited to pay penalties t after the company failed to comply with ASIC’s Market Integrity Rules.
Whistleblowing – New Rules, New Policies, New Vision
Whistleblowing - new rules, new policies, new vision. A speech by John Price, Commissioner, Australian Securities and Investments Commission.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.