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  • SEC Monitoring Impact Of Tropical Storm Barry On Capital Markets

    Date 12/07/2019

    The Securities and Exchange Commission is closely monitoring the impact of Tropical Storm Barry on investors and capital markets. 

  • CFTC Orders Vision Financial Markets LLC To Pay A $200,000 Penalty To Settle Charges That It Failed To Supervise Its Employees

    Date 12/07/2019

    The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Vision Financial Markets LLC(Vision), a securities broker dealer located in Stamford, Connecticut.  From at least May 1990 until April 2015, Vision was a registered futures commission merchant (FCM) and commodity pool operator.  The Order requires Vision to pay a civil monetary penalty of $200,000 and cease and desist from any further violations of the Commodity Exchange Act or CFTC Regulations.

  • Nigerian Stock Exchange Weekly Market Report For July 12th 2019

    Date 12/07/2019

    A total turnover of  988.491 million shares worth N13.839 billion in 16,414 deals were traded this week by investors on the floor of the Exchange in contrast to a total of 1.025 billion shares valued at N9.911 billion that exchanged hands last week in 19,375 deals.   

  • US Federal Agencies Propose Rule On The Capital Treatment Of Land Development Loans

    Date 12/07/2019

    The federal bank regulatory agencies today invited public comment on a proposal to clarify the treatment of land development loans under the agencies' capital rules.

  • Moscow Exchange Group: Risk Parameters Change On Securities Market

    Date 12/07/2019

    CCP NCC sets the following risk parameters on Securities market starting from July 15, 2019:

  • ESMA Consults On Disclosure Guidelines Under The Prospectus Regulation

    Date 12/07/2019

    The European Securities and Markets Authority (ESMA), the EU’s securities markets’ regulator, has launched a public consultation concerning its draft Guidelines on disclosure requirements under the Prospectus Regulation (PR). 

     

  • Maggie Sklar To Depart CFTC Chairman Giancarlo’s Office

    Date 12/07/2019

    The U.S. Commodity Futures Trading Commission (CFTC) announced Maggie Sklar is leaving her role as Senior Counsel to Chairman J. Christopher Giancarlo upon his departure in July.   Sklar has been responsible for advising on all domestic-facing rulemakings and staff actions from across a broad spectrum of CFTC divisions, including the Divisions of Clearing and Risk, Market Oversight, Swap Dealer & Intermediary Oversight, as well as Enforcement matters.  She also served as a deputy to the Financial Stability Oversight Council.

  • ESMA Addresses Derivatives Trading Obligation Concerns Following Entry Into Force Of EMIR Refit

    Date 12/07/2019

    The European Securities and Markets Authority (ESMA) has today published a public statement addressing the misalignment between the scope of counterparties subject to the EMIR clearing obligation (CO) and those subject to the MiFIR derivatives trading obligation (DTO). 

  • Statement Of CFTC Commissioner Dawn D. Stump Announcing Important Progress In The CFTC’s Data Protection Initiative

    Date 12/07/2019

    Today, I am pleased to provide an update to the Data Protection Initiative I announced in March[1].  This initiative is meant to serve as a pathway to better ascertain the CFTC’s regulatory data needs and enhance its internal data protection measures.  Data is critical to our markets and our regulatory mission, but the specter of data breaches requires our agency to consider the breadth of our data intake needs while weighing the sensitivity of the data with the possibility of unauthorized access.  The CFTC collects information via both legacy and recently expanded powers and it must constantly evaluate its approach to data.  The effort seeks to appraise our strengths and vulnerabilities through a structured process in an attempt to develop a meaningful policy adapted to ever-evolving threats and advances in data security.  At the end of the day, I hope to implement consistent data protection procedures across the many functions required to carry out our mission that will benefit the agency and market participants.

  • ESMA Publishes Responses To Its Consultation On Indices And Recognised Exchanges Under The CRR

    Date 12/07/2019

    ESMA publishes responses to its Consultation on indices and recognised exchanges under the Capital Requirements Regulation.