Search Results for: One Financial Markets
Robo-advice has been increasingly adopted; FMA seeks feedback on robo-advice exemption
June 21st, 2017
The Financial Market Authority (FMA) of New Zealand has released today an announcement to get feedback on robo-advice exemption. According the announcement issued, the FMA is seeking feedback on its proposals to allow entities to provide personalised financial advice ...
Broadridge Launches Trade Reporting Solution for SFTR Regulatory Change
June 21st, 2017
Broadridge Financial Solutions, Inc. (NYSE: BR) announced the launch of its trade reporting solution for the European Securities and Markets Authority’s (ESMA) forthcoming Securities Financing Transaction Regulation (SFTR). Broadridge’s new offering will enable market participants of all types to ...
Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance
June 21st, 2017
The Securities and Exchange Commission (SEC) announced that Robert Evans III has been named Deputy Director in the agency’s Division of Corporation Finance. He will join Deputy Director Shelley Parratt as a senior advisor to the division’s director, William ...
CySec warns investors regarding Airfinance Pro
June 20th, 2017
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform investors with regards to the company ‘Airfinance Pro Ltd’ (the ‘Company’), that: 1. The Company was authorised by CySec for the provision of investment services ...
Global law firm combines with a Boston-based litigation investigations firm
June 16th, 2017
Hogan Lovells combines with Collora, adding Boston office Strategically bolstering the firm’s life sciences capabilities throughout the Northeastern U.S. and globally Global law firm Hogan Lovells announced today that it will combine with Collora, a Boston-based litigation/investigations firm with ...
How gold can rescue pensions
June 15th, 2017
The World Economic Forum, in conjunction with Mercers (the actuaries) recently estimated that the combined pension deficit currently stands at $66.9tr for eight countries, rising to $427.8tr in 2050. The eight countries are Australia, Canada, China, India, Japan, Netherlands, ...
FCA UK issued an update on regulatory sandbox
June 15th, 2017
The Financial Conduct Authority of UK (FCA UK) today provides an update on its regulatory sandbox and unveils the list of firms that were successful in their applications to begin testing in the second cohort of the sandbox. The ...
UBS Securities pays penalties
June 15th, 2017
UBS Securities pays $280,000 in infringement notice penalties UBS Securities Australia Limited (‘UBS’) has paid penalties totalling $280,000 to comply with two infringement notices given to it by the Markets Disciplinary Panel (‘the MDP’). The first infringement notice ($140,000) ...
Traders review: Yen little changed, Aussie jumped, New Zealand dollar fell
June 15th, 2017
Asian stocks retreated as banks slumped and oil touched the lowest level since November. Bonds rallied amid lingering inflation concerns even after Federal Reserve Chair Janet Yellen suggested weak readings won’t persist. The yen was little changed at 109.60 ...
ESMA issues Risk Dashboard for first Quarter of 2017
June 14th, 2017
The European Securities and Markets Authority (ESMA) has issued today its most recent iteration of its Risk Dashboard, covering risks in the EU’s securities markets for 1Q2017. ESMA’s overall risk assessment remains unchanged from 4Q16 at high levels. In ...
