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Governance

November 3, 2015 - Technology industry leaders Amazon, Apple, Google, Intuit and PayPal have formed a coalition to lobby for policy initiatives that will further the development of innovation in the financial services industry.

September 28, 2015 - The European Securities and Markets Authority (ESMA) today published its final technical standards (TS) on some of the most important pieces of post-crisis financial regulation: the Markets in Financial Instruments Directive (MiFID II), the Market Abuse Regulation (MAR) and the Central Securities Depositaries Regulation (CSDR).ESMA’s TS translate how the legislation will apply in practice to market participants, market infrastructures and national supervisors. The new technical standards will alter the functioning of European financial markets by increasing their transparency, safety and resilience as well as investor protection.

September 15, 2015 - The Investment Association is today calling for a rethink of proposed trading rules that would make it harder for investors to buy and sell bonds.

August 19, 2015 - The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to settle charges that it failed to enforce policies and procedures to prevent and detect securities transactions that could involve the misuse of material, nonpublic information.

September 18, 2015 - In its first action against an unregistered bitcoin options trading platform, the Commodity Futures Trading Commission (CFTC) in the US has ruled that virtual currencies are a commodity and as such should come under the purview of the Commodity Exchange Act (CEA).

September 9, 2015 - (Bloomberg) -- As if slumping prices weren't enough -- German electricity is trading near a 12-year low -- traders and utilities in Europe's $940 billion power and natural gas markets have another reason to be worried.

August 13, 2015 - The European Securities and Markets Authority (ESMA) has published four reports focused on how the European Markets Infrastructure Regulation (EMIR) framework has been functioning and providing input and recommendations to the European Commission's (EC) EMIR Review.

September 18, 2015 - With a Jan. 1, 2016 effective date looming for 50 "early adopter" jurisdictions set to enact a new international Common Reporting Standard (CRS) for reporting financial account information, 61 percent of respondents to a KPMG survey of executives at financial institutions worldwide say that the CRS will impact more of their accounts than the U.S. provisions commonly known as the Foreign Account Tax Compliance Act (FATCA).

August 25, 2015 - A man has been given an 18 month prison sentence for hacking into hundreds of phones belonging to Aviva in an act of revenge against his former company, a security vendor contracted by the insurance firm.

August 11, 2015 - FIX Trading Community, the non-profit, industry-driven standards body at the heart of global financial trading, today announced that it has formed six new subgroups focused on MiFID II regulation for the industry to collaborate on the most critical issues in this time of regulatory change.

September 16, 2015 - A Ukrainian investment banking firm and its CEO have agreed to pay $30 million to settle SEC charges that they profited from trading on information hacked from newswire services.

August 25, 2015 - International tech vendors could face difficulty selling to Chinese banks after Reuters reported that the Chinese government is set to revive controversial cyber security rules that limits the amount of technology that Chinese banks can buy from overseas vendors.

July 30, 2015 - The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today urged legislative and industry action to address three key obstacles that are hindering achievement of the G20 transparency goals set forth by policymakers in the aftermath of the 2008 financial crisis.

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