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Date 25/03/2015
UK Financial Conduct Authority Wins Appeal Case Against Capital Alternatives
The Financial Conduct Authority (FCA) has received the judgment from The Court of Appeal hearing for Capital Alternatives and others which took place on 27 and 28 January 2015. The Court of Appeal has ruled that all four schemes were collective investment schemes. If the decision is not subject to further appeal by the Defendants, the FCA can proceed with any remaining aspects of the case which still need to be ruled on by the Court.
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Date 25/03/2015
Helping Small Businesses And Protecting Investors, SEC Commissioner Luis A. Aguilar, March 25, 2015
The Commission has long recognized that small businesses are essential to the growth and success of our national economy. Our nation’s 28 million small business owners create almost two out of every three new jobs and employ more than half of the U.S. workforce. The long-term success of our country’s small businesses, however, depends on their access to capital. For this reason, Congress has provided the Commission with authority to pass rules to make it easier for small businesses to raise capital. One rule which has historically been used by small businesses is Regulation A—an exemptive rule that has been around nearly as long as the SEC. Regulation A provides companies with a streamlined and less costly way to raise capital, so long as they provide the investing public with certain critical disclosures about the company and the securities being offered.
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Date 25/03/2015
Euronext Welcomes The Bond Listing Of COFINIMMO On Its Alternext Brussels Market
Euronext Brussels announces the successful admission to listing on its Alternext market of corporate bonds issued by Cofinimmo, the Belgian real estate company specialising in rental property.
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Date 25/03/2015
Enhancing Oversight Of Our Equities And Options Markets, SEC Commissioner Luis A. Aguilar, March 25, 2015
Today, the Commission considers a proposal to amend Rule 15b9-1, which exempts certain broker-dealers from the obligation to hold membership in a registered national securities association.[1] The proposed amendments are intended to realign the rule with current market practices and to curtail the use of this rule by certain high-frequency traders in order to avoid the membership requirement. The proposal being considered today represents an important step in improving market oversight.
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Date 25/03/2015
European Investment Bank: Tap Of Longest Green Benchmark Heralds Imminent Publication Of New Green Bond Principles
- EIB’s CAB 2026 increased to EUR 1.25 bn
- 2015 Green Bond Principles (“GBP”) to be presented in London on 27/3
- Special CAB-Newsletter of the EIB to be presented in London on 27/3
- Total CAB issuance approaching EUR 8.5bn
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Date 25/03/2015
Statement At Open Meeting On Rule 15b9-1, SEC Commissioner Kara M. Stein, March 25, 2015
First, I would like to echo my thanks to the staff who have worked hard on this release.
Today’s proposal addresses the lack of uniform oversight of broker-dealers. Generally, a registered broker-dealer must be a member of a securities association unless it conducts its trades solely on an exchange. A securities association serves as a self-regulatory organization, or SRO, which provides important oversight and a regulatory framework to safeguard investors. In 1976, the Commission issued a provision that provided a conditional exemption for certain exchange members from this membership requirement.
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Date 25/03/2015
Realex Payments Acquired By Global Payments
We’re delighted to announce that Realex Payments, one of Europe’s largest and fastest growing payment gateways, has been acquired by Global Payments, a leading worldwide provider of payment technology services.
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Date 25/03/2015
Statement At Open Meeting on Rule 15b9-1, SEC Commissioner Michael S. Piwowar, March 25, 2015
Thank you, Chair White.
As with any rulemaking, this one raises a serious threshold question: why it is necessary and appropriate. I am not convinced that today’s proposal clears that hurdle. But, despite my reservations, I will be voting in favor of the Staff’s recommendation. I believe there is value in seeking public input about the current nature and state of regulatory oversight of certain market participants and the potential for enhancements to our regulatory structure. I hope that interested parties will provide robust comment on the proposal to help inform our decision on whether to proceed with adopting these rule amendments. Of course, all comments are welcome; each and every one of the questions we pose should generate responses and data that will be of great benefit to us. But I want to identify three issues on which I expect feedback will be particularly helpful.
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Date 25/03/2015
Bank Of England Publishes Independent Review Of RTGS Outage
The Bank of England today published the results of an independent review by Deloitte of the disruption to the Real Time Gross Settlement (RTGS) system on 20 October 2014. The Bank also published its response, in which it accepted all of the review’s recommendations and set out how it intends to implement each of them.
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Date 25/03/2015
TABB Research IDs 10 Critical Criteria In Selecting CAT Processor - Three-Part Series Concludes, Analyzing Consolidated Audit Trail Program’s Ongoing Process of Selecting All-Important Processor
The Consolidated Audit Trail (CAT) initiative is one of the largest, most ambitious and potentially most problematic projects the capital markets industry has undertaken. According to TABB Group in the last of its three-part series analyzing the current state of the CAT effort and the ongoing effort of selecting the CAT processor, they delved deep into the project’s details and identified 10 critical criteria for the self-regulatory organizations (SROs) to apply in selecting the CAT processor drawn from six final proposals.
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