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  • Family Members Settle With Alberta Securities Commission After Admitting To Illegal Insider Trading

    Date 06/03/2015

    The Alberta Securities Commission (ASC) has concluded a Settlement Agreement with three members of the same family in connection with illegal insider trading and tipping. 

  • BATS 1000 Index Drops 1.8% This Week

    Date 06/03/2015

    BATS Global Markets (BATS), a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) declined 428.46 points to close at 22,937.50, down 1.8 percent over last Friday’s close.

  • MIAX Options Exchange: Option Classes To Be Added To The Penny Pilot Program On March 9, 2015

    Date 06/03/2015

    MIAX Regulatory Circular 2015-14 identifies four option classes to be included in the MIAX Penny Pilot Program starting on Monday, March 9, 2015.

  • European Banking Authority: Consultation On Regulatory Technical Standards On Detailed Records Of Financial Contracts

    Date 06/03/2015

    The European Banking Authority (EBA) launched today a public consultation on draft Regulatory Technical Standards (RTS) on detailed records of financial contracts of institutions or relevant entities. These RTS have been developed within the framework established by the Bank Recovery and Resolution Directive (BRRD) which sets procedures for the recovery and resolution of credit institutions, investment firms and related entities across the EU Single Market. These standards aim to guarantee appropriate convergence in record keeping across the EU, whilst also ensuring that differences in institutions or relevant entities are taken into account. This consultation runs until 6 June 2015.

  • CFTC Commitments Of Traders Reports Update

    Date 06/03/2015

    The current reports for the week of March 3, 2015 are now available.

  • European Supervisory Authorities: Joint Committee Consultation Paper On ITS On The Credit Quality Steps For ECAIs Credit Assessments

    Date 06/03/2015

    The Joint Committee of the three European Supervisory Authorities (EBA, EIOPA and ESMA - ESAs) launched today a consultation on draft Implementing Technical Standards (ITS) on the allocation of External Credit Assessment Institution (ECAIs) to an objective scale of credit quality steps under Solvency II.

  • Nigerian Stock Exchange Stock Market Report For March 6th, 2015

    Date 06/03/2015

    A turnover of 2.133 billion shares worth N24.386 billion in 22,532 deals were traded this week by investors on the floor of The Exchange in contrast to a total of 1.675 billion shares valued at N21.315 billion that exchanged hands last week in 21,062 deals.

  • The EBA Advises On Resolution Procedures For EU Banks

    Date 06/03/2015

    The EBA issued today advice to the European Commission on the resolution framework for EU banks, covering the definition of critical functions and core business lines, as well as rules for the exclusion of liabilities from the application of the bail-in tool. The Authority reminded that the purpose of the bail-in tool is to ensure the legislative principle that shareholders and creditors of a failing institution have to bear its losses, and as such exemptions should be applied cautiously. The EBA advice on critical functions is based on its work on rules for recovery planning and on a comparative analysis of the recovery plans of 27 European cross-border banking groups which identified key strengths and weaknesses in banks' approaches and is also published today.

  • SEC Approves New OCC Capital Plan - Plan Significantly Enhances OCC’s Equity Capital - OCC Board Declares Fee Reduction Effective April 1, 2015 And $33.3 Million Refund To Clearing Members

    Date 06/03/2015

    OCC, the world’s largest equity derivatives clearing organization,   announced today that the U.S. Securities and Exchange Commission (SEC) has approved OCC’s capital plan, which increases shareholders’ equity from $25 million at the end of 2013 to $247 million through the retention of $72 million in 2014 earnings and receipt of $150 million in equity capital contributions from OCC’s stockholder exchanges: Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, NASDAQ OMX PHLX LLC, NYSE MKT LLC, and NYSE Arca, Inc. Under the plan, the stockholder exchanges also commit to provide up to $117 million in replenishment capital in the event of unexpected losses, providing OCC with ready access to approximately $364 million in equity capital resources. Further, as OCC’s target capital requirement grows, the stockholder exchanges’ commitment to provide replenishment capital increases up to $200 million.

  • European Banking Authority Consults On Records Of Financial Contracts

    Date 06/03/2015

    The European Banking Authority (EBA) launched today a public consultation on draft Regulatory Technical Standards (RTS) on detailed records of financial contracts of institutions or relevant entities. These RTS have been developed within the framework established by the Bank Recovery and Resolution Directive (BRRD) which sets procedures for the recovery and resolution of credit institutions, investment firms and related entities across the EU Single Market. These standards aim to guarantee appropriate convergence in record keeping across the EU, whilst also ensuring that differences in institutions or relevant entities are taken into account. This consultation runs until 6 June 2015.