FTSE Mondo Visione Exchanges Index:
News Centre
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Date 22/12/2014
UK Financial Conduct Authority Confirms New Disclosure Rules And Transparency Rules
The FCA has today confirmed that new Disclosure Rules and Transparency Rules (DTRs) to report on payments to governments have entered into force. This follows an announcement on 12 December, which set out requirements under the Transparency Directive for issuers involved in the extractive or logging of primary forest industries to produce annual reports on payments made to the governments in the countries they operate in.
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Date 22/12/2014
Two New Commercial Mortgage Backed Securities List On The Irish Stock Exchange
Deutsche Bank and Morgan Stanley last week listed commercial mortgage-backed security (CMBS) deals on the ISE.
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Date 22/12/2014
CFTC Staff Issues Advisory And Time-Limited No-Action Position Regarding The CCO Annual Report
The U.S. Commodity Futures Trading Commission’s (Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a staff advisory that provides guidance for chief compliance officers (CCO) of futures commission merchants, swap dealers and major swap participants (registrants) to comply with the requirement to prepare an annual report on the state of the registrant’s compliance program under Commission Regulation 3.3(e).
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Date 22/12/2014
ESMA Publishes Initial Cost-Benefit-Analysis On MiFID II Proposals
The European Securities and Markets Authority (ESMA) today published a preliminary cost-benefit-analysis (CBA) in respect of regulatory and implementing technical standards it proposes for MiFID II.
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Date 22/12/2014
CBOE And C2 Enter Into Agreements With FINRA Involving Regulatory Services
CBOE Holdings, Inc. (NASDAQ: CBOE) today announced that Chicago Board Options Exchange® (CBOE®) and C2 Options Exchange (C2) have entered into an agreement with the Financial Industry Regulatory Authority (FINRA), under which FINRA will perform the majority of the exchanges’ regulatory services.
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Date 22/12/2014
ESMA Publishes Credit Rating Agencies' Market Share Calculations For 2014
The European Securities and Markets Authority (ESMA) has published its annual list of EU registered CRAs’ market share calculations for the purposes of Article 8d of the CRA Regulation.
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Date 22/12/2014
Bank Of England: Record Of Financial Policy Committee Meetings Held On 8 And 15 December 2014
At its meetings on 8 and 15 December, the Financial Policy Committee made no new recommendations.
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Date 22/12/2014
European Supervisory Authorities Tackle Cross-Selling Practices In The Financial Sector
The Joint Committee of the three European Supervisory Authorities (EBA, EIOPA and ESMA) published today a consultation paper on draft Guidelines for regulating cross-selling practices in the financial sector across the EU. These guidelines establish a coherent and effective approach in supervising firms that offer cross-selling options, so as to enhancing protection of EU customers. The consultation will run until 22 March 2015.
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Date 22/12/2014
FINRA Bars Broker For Stealing $89,000 From An Elderly Customer
The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Jeffrey C. McClure from the securities industry for converting nearly $89,000 from an elderly customer's bank account while working for Wells Fargo Advisors, LLC and an affiliated bank in Chico, California. The affiliated bank has made the customer whole for her losses.
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Date 22/12/2014
CFTC Orders Deutsche Bank Securities Inc. To Pay $3 Million To Settle Charges Of Improper Investment Of Customer Segregated Funds, Reporting And Recordkeeping Violations, And Supervision Failures
The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against Deutsche Bank Securities Inc. (DBSI), a registered Futures Commission Merchant (FCM) based in New York, N.Y., for failing to properly invest customer segregated funds, failing to prepare and file accurate financial reports, failing to maintain required books and records, and for related supervisory failures. None of the violations resulted in any customer losses, according to the CFTC’s Order. The Order requires DBSI to pay a $3 million civil monetary penalty and to cease and desist from violating the CFTC Regulations, as charged. DBSI is an indirect, wholly-owned subsidiary of the parent company, Deutsche Bank AG.
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