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Date 29/09/2017
London Stock Exchange Approved As An ARM For MiFIR Reporting
- FCA approves London Stock Exchange as an Approved Reporting Mechanism (ARM) through its UnaVista platform
- LSEG providing single connectivity solutions for firms’ pre- trade transparency and post-trade reporting requirements
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Date 29/09/2017
EBA Issues Opinion On The Design Of A New Prudential Framework For Investment Firms
The European Banking Authority (EBA) published today its Opinion on the design and calibration of a new prudential framework for investment firms, which is specifically tailored to the needs of investment firms' different business models and inherent risks. The Opinion includes a series of recommendations aiming to develop a single and harmonised set of requirements that are reasonably simple, proportionate and relevant to the nature of investment firms authorised to provide MiFID services and activities.
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Date 29/09/2017
CFTC Charges California Residents Hasan Sarwar a/k/a Alexander Sarwar, And Rachida Elfrimi With Operating A $1.19 Million Dollar Ponzi Scheme And Registration Violations
The Commodity Futures Trading Commission (CFTC) on September 28, 2017, filed a civil enforcement action in the U.S. District Court for the Southern District of New York against Defendants Hasan Sarwar a/k/a Alexander Sarwar (d/b/a Profit Management Int) of Rancho Cucamonga, California, and his spouse Rachida Elfrimi (d/b/a Profit Management). The CFTC Complaint charges the Defendants with defrauding commodity pool participants, making Ponzi-style payments to pool participants from other participants’ funds, comingling of pool funds, and failing to register with the CFTC as Commodity Pool Operators, as required.
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Date 29/09/2017
Federal Reserve Board Fines HSBC Holdings Plc And HSBC North America Holdings Inc. $175 Million For Unsafe And Unsound Practices In FX Trading
The Federal Reserve Board on Friday announced that it has fined HSBC Holdings plc, London, United Kingdom, and HSBC North America Holdings Inc., New York, New York, $175 million for the firm's unsafe and unsound practices in its foreign exchange (FX) trading business.
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Date 29/09/2017
MNI Chicago Business Barometer September 2017 - Chicago Business Barometer Rises Sharply To 65.2 In September - Prices Paid Increase Significantly - Order Backlogs Highest In 29 Years
The MNI Chicago Business Barometer rose to 65.2 in September, up from 58.9 in August, hitting the highest level in three months and the second highest level in more than three years.
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Date 29/09/2017
Solactive Launches Future Cars Index Canadian Dollar Hedged Used As The Reference Index For Evolve Automobile Innovation Index ETF (CARS)
Solactive is excited to announce the launch of the Solactive Future Cars Index Canadian Dollar Hedged, which is the new underlying index for the Evolve Automobile Innovation Index ETF (CARS). CARS will begin to trade today on the Toronto Stock Exchange and is designed to give Canadian investors access to an exciting investment theme in the development of future cars.
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Date 29/09/2017
ESMA Consults On Guidelines For Non-Significant Benchmarks
The European Securities and Markets Authority (ESMA) has launched a consultation on Guidelines detailing the obligations which apply to non-significant benchmarks under the Benchmarks Regulation (BMR).
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Date 29/09/2017
Malawi Stock Exchange Weekly Trading Report - 29 September, 2017
Click here to download Malawi Stock Exchange's weekly trading report.
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Date 29/09/2017
Financial Conduct Authority Approves NEX Regulatory Reporting’s Abide Financial DRSP Ltd As An ARM Under MiFID II
NEX Regulatory Reporting, a NEX Group business which provides regulatory reporting services across global regulatory regimes, announces today that Abide Financial DRSP Ltd has received approval from the Financial Conduct Authority (FCA) as an Approved Reporting Mechanism (ARM), with effect from 3 January 2018. The authorisation will allow NEX Regulatory Reporting to report client transactions to National Competent Authorities (NCA) across Europe under MiFID II.
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Date 29/09/2017
ESMA Updates Q&A On MAR
The European Securities and Markets Authority (ESMA) has updated its Questions & Answers (Q&A) document regarding the implementation of the Market Abuse Regulation (MAR).
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