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  • The Canadian Securities Administrators Launch A Regulatory Sandbox Initiative

    Date 23/02/2017

    The Canadian Securities Administrators (CSA or we) today launched a regulatory sandbox, an initiative that supports businesses seeking to offer innovative products, services and applications.

  • Commission Statement Regarding Decision In Bartko v. SEC

    Date 23/02/2017

    In its January 17, 2017 decision in Bartko v. SEC (No. 14-1070), the United States Court of Appeals for the D.C. Circuit granted in part a petition for review of a Commission order imposing sanctions for violations of the securities laws.  The court vacated the portion of the order imposing collateral bars against Bartko, who was associated only with a broker-dealer at the time of his securities law violations, from association with investment advisers, municipal securities dealers, transfer agents, municipal advisors, and nationally recognized statistical ratings organizations.  The court held that the order’s imposition of those collateral bars was an impermissibly retroactive application of the Dodd-Frank Act, which first authorized the Commission to impose such collateral bars.  Because all of Bartko’s violative conduct pre-dated the Dodd-Frank Act’s July 22, 2010, effective date, the court held that applying those provisions to such conduct would be impermissibly retroactive.  The Commission has determined not to seek further review of that decision.

  • SEC Announces Agenda For March 9 Investor Advisory Committee Meeting - Committee Welcomes New Member Jerome Solomon

    Date 23/02/2017

    The Securities and Exchange Commission today announced the agenda for the March 9 meeting of its Investor Advisory Committee.  The meeting will commence at 9:30 a.m. in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C. and is open to the public.  The meeting will be webcast live and archived on the committee’s website for later viewing.

  • BSX Launches Investor Education Programme

    Date 23/02/2017

    The Bermuda Stock Exchange (BSX) today announced the launch of its new Investor Education Programme ‘Own your share of Bermuda’.  

  • FXPA Elects New Officers, Board Members - New Executive Committee, Board Members

    Date 23/02/2017

    The Foreign Exchange Professionals Association (FXPA) is pleased to announce the results of its elections, which took place last week, and resulted in a slate of new Board members, as well as four officers to serve on the FXPA’s Executive Committee (ExCom).

  • CME Group Interest Rate Contracts Shatter Records On Feb. 22

    Date 23/02/2017

    • Fed Fund futures volume reaches record 658,700 contracts traded
    • Ultra 10-Year Treasury futures volume reaches record high of 315,730 contracts traded
    • Treasury futures achieve open interest record of 10.5 million contracts, more than $1.2 trillion in notional value

  • EEX New Participant: Api NĂ²va Energia S.r.l.

    Date 23/02/2017

    Api Nòva Energia S.r.l. has been admitted to exchange trading for Belgian Financial Power Futures, Dutch Financial Power Futures, French Financial Power Futures/Options, German Intraday Cap Futures, Greek Financial Power Futures, Italian Financial Power Futures/Options, Nordic Financial Power Futures/Options, Phelix Futures/Options, Romanian Financial Power Futures, Spanish Financial Power Futures/Options, Swiss Financial Power Futures and UK Financial Power Futures.

  • Bats Welcomes Four New PowerShares Funds To The Bats ETF Marketplace - 27 Issuers, 155 Funds Now Listed On Bats In The U.S.

    Date 23/02/2017

    Bats Global Markets, Inc. (Bats: BATS), the #1 U.S. market for exchange-traded fund (ETF) trading, today welcomed a suite of four new PowerShares ETFs to the Bats ETF Marketplace.

  • EBA Paves The Way For Open And Secure Electronic Payments For Consumers Under The PSD2

    Date 23/02/2017

    The European Banking Authority (EBA) published today its final draft Regulatory Technical Standards (RTS) on strong customer authentication and common and secure communication. These RTS, which were mandated under the revised Payment Services Directive (PSD2) and developed in close cooperation with the European Central Bank (ECB), pave the way for an open and secure market in retail payments in the European Union.

  • SEC Staff Issues Guidance Update And Investor Bulletin On Robo-Advisers

    Date 23/02/2017

    The Securities and Exchange Commission today published information and guidance for investors and the financial services industry on the fast-growing use of robo-advisers, which are registered investment advisers that use computer algorithms to provide investment advisory services online with often limited human interaction.