November 15, 2013 - The European Securities and Markets Authority (ESMA) has published a Discussion Paper (DP) setting out its initial views on the implementation measures it will develop for the new Market Abuse Regulation (MAR), covering the surveillance of European financial markets. It has invited capital market participants to respond by 27 January 2014.

October 30, 2013 - ABN AMRO Clearing Sydney Pty Ltd ("ABN AMRO") has paid a penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel ("MDP").

October 15, 2013 - The Committee on Payment and Settlement Systems (CPSS) and the International Organization of Securities Commissions (IOSCO) have today published for public comment a consultative document on the Public quantitative disclosure standards for central counterparties.

November 14, 2013 - Only 4 percent of IT professionals say their enterprises are very prepared to ensure effective governance and privacy of Big Data, according to a global survey conducted by professional association ISACA. Yet information is currency, and enterprises must not only protect and manage it, but also use it to drive business value.

October 24, 2013 - More reforms are needed in the financial sector if Britain is to remain a global business hub, the governor of the Bank of England said Thursday in a wide-ranging speech in which he also offered banks greater access to emergency loans.

October 10, 2013 - Wolters Kluwer Financial Services announced today that it can help financial institutions meet the Comprehensive Capital Analysis and Review and Dodd-Frank Act Stress Testing reporting requirements that are effective Jan. 5, 2014. In preparation for the CCAR and DFAST requirements, many bank executives find their time dominated by difficult data compilation, disparate calculation processes, and manual report generation and submissions.

November 6, 2013 - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined TD Ameritrade Clearing, Inc. $1,150,000 and SG Americas Securities, Inc. $675,000 for failing to report or accurately report certain large options positions and for related supervisory deficiencies.

October 22, 2013 - In the wake of a cyber-attack simulation, US financial services industry trade body Sifma has called on politicians to bring in legislation designed to improve communication between the government and private firms.

October 2, 2013 - FTI Consulting, Inc. (FCN), the global business advisory firm dedicated to helping organisations protect and enhance their enterprise value, today announced the appointment of Christine Moran as a Managing Director in the company's Financial Services Governance, Risk and Regulation practice. Ms. Moran will be based in London.

November 5, 2013 - Accuity, the global standard for payment efficiency and compliance solutions, today outlined key findings from 'Basel III: Meeting the challenge of a new regulatory environment', a whitepaper looking at the impact of stricter capital requirements on trade finance and the necessary compliance approaches required to adhere to the impending reforms.

October 16, 2013 - The Securities and Exchange Commission today announced that Knight Capital Americas LLC has agreed to pay $12 million to settle charges that it violated the agency's market access rule in connection with the firm's Aug. 1, 2012 trading incident that disrupted the markets.

September 30, 2013 - The Depository Trust & Clearing Corporation (DTCC) has teamed up with a group of major global banks in a bid to develop a global service to collect and manage the client entity reference data necessary to meet regulatory requirements.