Latest News for Risk and Regulation
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Culture and cultural leaders from around the world will feature prominently in the official programme of theAnnual Meeting 2019 in Davos-Klosters
Securities settlement systems that have been approved by Finanstilsynet have legal protection under the Norwegian Payment Systems Act.
The Investment Industry Regulatory Organization of Canada (IIROC) today published its annual Compliance Priorities Report a review of the issues and trends identified through the past year’s compliance and registration activities, that also provides a preview of areas of regulatory focus for the coming year.
London Stock Exchange Group launches the second edition of its ‘Companies to Inspire Africa’ report, identifying and celebrating some of Africa’s most dynamic growth businesses.
Rising geopolitical and geo-economic tensions are the most urgent risk in 2019, with 90% of experts saying they expect further economic confrontation between major powers in 2019
The London Metal Exchange (LME) today announces the index price providers for its seven new cash-settled futures products due to launch on 11 March 2019, and provides an update on its lithium contract which is expected to launch in Q4 2019.
ASIC has suspended the Australian financial services (AFS) licence held by Halifax Investment Services Pty Ltd (Halifax) until 10 January 2020.
TriOptima, the leading multilateral compression provider that lowers costs and mitigates risk in OTC markets, today announced that it has set a new record for its triReduce portfolio compression service.
CME Group, the world’s leading and most diverse derivatives marketplace, today announced that it achieved Asia Pacific average daily volume (ADV) of 921,000 contracts in the fourth quarter of 2018, up 45 percent from the corresponding period in 2017.
A BCSC panel has revised and extended temporary prohibitions that were previously imposed on several individuals, companies and issuers in November 2018.
Investors defrauded by David Michael Michaels will get some money back after the British Columbia Securities Commission (BCSC) obtained money from the sale of Michael’s Hawaiian property and a cash payment from Michaels.
ASIC has commenced proceedings in the Supreme Court of Queensland against Richard Gardner, a credit representative and former financial adviser; and Advanced Wealth Financial Services Pty Ltd (Advanced Wealth Financial Services).
ASIC has imposed additional conditions on the Australian Financial Services licence of Kaz Capital Pty Ltd (Kaz).
The Securities and Exchange Commission today announced charges against nine defendants for participating in a previously disclosed scheme to hack into the SEC’s EDGAR system and extract nonpublic information to use for illegal trading.
TriOptima, a leading infrastructure service that lowers costs and mitigates risk in OTC derivatives markets, today announced that it has launched triCalculate IM Analytics which provides crucial insight into the options for initial margin (IM) calculation, helps with the identification and prioritization of in-scope counterparties and aids trading decisions to reduce future IM costs.
There was a modest drop in agricultural producer sentiment in December as farmers’ perception of both current and future economic conditions weakened, according to results from the Purdue University/CME Group Ag Economy Barometer.
ASIC has today released a consultation paper seeking feedback on proposed changes to the fees and costs disclosure regime for managed investment schemes and superannuation.
DTCC’s Global Trade Repository continues to add new jurisdictions to provide the industry with a single platform to support global trade reporting
The Administrative Appeals Tribunal (AAT) has affirmed ASIC’s decision to refuse Michael David Watson an (Australian Financial Services) AFS licence.
New Greenwich Associates Report Shows Non-Bulge Bracket Dealers and Other New Liquidity Providers Gaining Market Share