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  • CFTC Chairman Giancarlo To Speak At USDA’s 95th Annual Agricultural Outlook Forum

    Date 13/02/2019

    WHAT:

    Chairman J. Christopher Giancarlo will speak at USDA’s 95th Annual Agricultural Outlook Forum dinner.

    WHEN:

    Thursday, February 21, 2019
    6:30 p.m.

    WHERE:

    Crystal Gateway Marriott
    1700 Jefferson Davis Hwy
    Arlington, VA 22202

     

  • SEC Charges Former Senior Attorney At Apple With Insider Trading

    Date 13/02/2019

    The Securities and Exchange Commission today filed insider trading charges against a former senior attorney at Apple whose duties included executing the company’s insider trading compliance efforts.  

  • CFTC Swaps Report Update

    Date 13/02/2019

    CFTC's Weekly Swaps Report has been updated, and is now available.

  • Deutsche Börse AG Ends Q4 And The Full Year 2018 With Strong Growth

    Date 13/02/2019

    • Net revenue up 16 per cent in Q4/2018, to €740 million 
    • Net profit (adjusted) up 19 per cent year-on-year in Q4/2018 
    • Net revenue up 13 per cent in full year 2018, to €2.8 billion 
    • Net profit (adjusted) up 17 per cent in full year 2018, to €1.0 billion
    • Earnings per share (adjusted) of €5.42 for the full year 2018 
    • Proposed dividend increase by 10 per cent, to €2.70 per share 
    • For 2019, secular net revenue growth of at least 5 per cent, and adjusted net profit growth of around 10 per cent expected 
    • Confirmation of mid-term targets for adjusted net profit growth of an annual average of 10 to 15 per cent as part of the “Roadmap 2020” strategy

  • Market Abuse Requires A Dynamic Response To A Changing Risk Profile - Speech Delivered By Julia Hoggett, Director Of Market Oversight At The FCA, At The AFME Implementation Of The Market Abuse Regulation In The UK Event, London

    Date 13/02/2019

    Highlights

    • Compliance with MAR requires a whole series of situational judgements to be made.
    • A regulatory system that relies on controls that work by detecting when an event has happened, will never be as effective as a system that also helps ensure that misconduct does not happen in the first place. Whilst it is important that both regulators and participants have controls to detect suspicious behaviour, it is critical that we consider how we protect the market from such behaviour occurring on our watch in the first place.
    • Firms need effective risk assessments and must consider for themselves the manner in which their systems and controls evolve as the risks within their businesses evolve.
    • Control of information leaving a firm is as important as control of information moving within a firm.
    • Firms need to take responsibility to ensure staff understand the consequences of unlawful behaviour and must be vigilant to ensure it is not happening within their walls. Greater awareness of the risks of market abuse is needed.
    • Access controls, surveillance capabilities and general mindset in investment banking and advisory platforms is not yet as evolved as it should be.
    • There is still more for the industry to do to improve its capacity to surveil for market manipulation.

  • The 51st Executive Committee Meeting Of The African Securities Exchanges Association

    Date 13/02/2019

    The Executive Committee of ASEA convened its first meeting in Marrakech, Morocco, on February 9, 2019 under the chairmanship of its newly elected President, Mr. Karim Hajji, Chief Executive Officer (CEO) of Casablanca Stock Exchange.

  • SEC: Deloitte Japan Charged With Violating Auditor Independence Rules

    Date 13/02/2019

    The Securities and Exchange Commission today announced that Deloitte Touche Tohmatsu LLC (Deloitte Japan) will pay $2 million to settle charges that it issued audit reports for an audit client at a time when dozens of its employees maintained bank accounts with the client’s subsidiary.  According to the SEC’s order, the accounts had balances that exceeded depositary insurance limits in violation of the SEC audit independence rules.  Deloitte Japan’s former CEO Futomichi Amano and former reputation and risk leader and director of independence Yuji Itagaki settled related charges.

  • oneZero Celebrates A Decade Through Giving - Donating $100,000 To Charities To Mark 10-Year Anniversary

    Date 13/02/2019

    oneZero Financial Systems, a global leader in innovative institutional and retail OTC (over the counter) liquidity and technology solutions, today announced $100,000 of charitable contributions to honor the 10-year anniversary of its founding. oneZero will be donating $10,000 to 10 charities over the next 10 months as part of its interest in giving back to local and global organizations that are serving others. oneZero was founded around core principles that include integrity, superior technology and service. These criteria were used to select 10 charities based on their contributions to their communities, supporting education and advancing technology across oneZero’s primary corporate locations in the Cambridge, Massachusetts area of the United States, Cyprus, Australia and the United Kingdom.

  • Trayport’s Monthly Report On European Commodities - January 2019: Record Month For Euro Gas, Mixed Performance For Euro Power, Broker Bilateral Market Share Gains In Five Of The Six Commodity Groups

    Date 13/02/2019

    January 2019 saw 8.818 million monthly contracts traded, up 45% MoM following a low December, with all groups rising with the exception of Emissions. Following its record low in Dec-18, Coal rose 123% MoM, with UK Gas (63%) and Euro Gas (60%) also notable monthly risers. Volumes are up 15% vs January 2018.

  • Steven Maijoor On "Brexit – The Regulatory Challenges" At The European Financial Forum, Dublin

    Date 13/02/2019

    Steven Maijoor, the Chair of the European Securities and Markets Authority (ESMA), delivered a speech on Brexit - the regulatory challenges at the European Financial Forum 2019 in Dublin this morning.