IIF and EY Release Ninth Annual Global Bank Risk Management Survey
IIF and EY Release Ninth Annual Global Bank Risk Management Survey, Risk Management Function Must Evolve to Become Trusted Advisors.
November 2018
London Stock Exchange Group Launches Reports on African Capital Markets
London Stock Exchange Group Launches Reports on African Capital Markets. Five reports on different aspects of capital market development launched today.
Making Sense of Financial Markets Worth the Effort, Governor Poloz Says
It can be a challenge for central banks to reconcile their views of the economy with signals from financial markets, but the effort is worthwhile.
CME Group to Host 11th Annual Global Financial Leadership Conference
CME group today announced it will host the 11th annual Global Financial Leadership Conference Nov. 12-14, at the Ritz-Carlton Beach Resort in Naples, Fla.
Federal Councillor Ueli Maurer to Attend Meeting of EU and EFTA Finance and Economics Ministers
Bern, Federal Councillor Ueli Maurer will take part in the meeting of EU and EFTA finance and economics ministers in Brussels.
Queensland Liquidator Committed on Fraud Charges
Mr David John Leigh, 56, of Sherwood, Queensland, has been committed by the Brisbane Magistrates’ Court on fraud charges and will be sentenced.
Anthony S. Kelly, Co-Chief of Asset Management Unit, to Leave SEC After 18 Years of Service
The Securities and Exchange Commission today announced that Anthony S. Kelly, Co-Chief of the Enforcement Division’s Asset Management Unit.
CFTC Sets De Minimus Threshold for SWAPs
The minimum threshold for swap activity required for reporting has been set by the Commodities Futures Trading Commission (CFTC).
SEC Adopts Rules That Increase Information Brokers Must Provide to Investors on Order Handling
The Securities and Exchange Commission today announced Rules That Increase Information Brokers Must Provide to Investors on Order Handling.
Bank of Canada Publishes Staff Economic Projections for the First Time
Today the Bank of Canada launched a digital database with more than 30 years of past staff economic projections of the Canadian economy.
Moscow Exchange Trading Volumes in October 2018
Moscow Exchange Trading Volumes in October 2018. Unless stated otherwise, all figures below refer to performance for October 2018.
SEC Charges Investment Adviser With Running $3.9 Million Fraud
SEC today charged a former registered representative and investment adviser in Altoona, Pennsylvania, with operating a long-running offering fraud.
BCSC Panel Permanently Bans Surrey Man from Capital Markets
BCSC Bans Surrey Man from Capital Markets, BCSC panel has banned Roberto Castano from any involvement in securities transactions.
EBA Stress Test Results of European Banks Published
The European Banking Authority (EBA) today announced the results of the EU-wide stress test of 48 European banks, including DNB Bank ASA.
IIROC secures greater enforcement authority in Northwest Territories, Nunavut and Yukon
IIROC secures greater enforcement authority in Northwest Territories, Nunavut and Yukon. They join seven provinces in strengthening investor protection.
Ong Chong Tee: Technological Innovation and Supervision of Financial Institutions
Keynote speech by Mr Ong Chong Tee, Deputy Managing Director, Ong Chong Tee: Technological Innovation and Supervision of Financial Institutions.
SEC Enforcement Division Issues Report on FY 2018 Results
SEC’s Enforcement Division today issued the annual report of its ongoing efforts to protect investors and market integrity.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.