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Finance Industry

Basel Committee publishes follow-up reports on Basel III implementation assessments
on March 25, 2019 at 10:00 am
Press release about Basel Committee publishing follow-up reports on Basel III implementation assessments (25 March 2019) […]
Carolyn Rogers appointed as the next Secretary General of the Basel Committee
on March 22, 2019 at 1:00 pm
Press Release - Carolyn Rogers appointed as the next Secretary General of the Basel Committee, 22 March 2019. […]
Basel III monitoring results published by the Basel Committee
on March 20, 2019 at 10:00 am
Press Release - Basel III monitoring results published by the Basel Committee, 20 March 2019. […]
FIA, ISDA, ABA, SIFMA and BPI Call on Fed to Review Capital RulesFIA files MiFID II consultation...
on March 19, 2019 at 8:11 pm
FIA today joined The International Swaps and Derivatives Association, Inc. (ISDA), the Securities Industry and Financial Markets Association (SIFMA), the American Bankers Association (ABA), and...On 15 March, FIA submitted jointly with ISDA and GFMA/GFXD the response to a consultation by the German Ministry of Finance. Germany had requested feedback from market participants...FIA’s comment letter to the rulemaking requests, among other things, that any final SEF rules clarify the risk management obligations of FCMs that clear swaps traded on SEFs, and that the agency...On March 13, 2019, Heath P. Tarbert, nominee to serve as chairman and a commissioner of the Commodity Futures Trading Commission (CFTC), testified before the Senate Agriculture Committee. ... Boca Raton, FL — FIA today announced the election of new directors to its board. The annual meeting takes place during the International Futures Industry Conference. The Board also... Boca Raton, FL – FIA’s Board of Directors today announced a new board-level initiative to encourage and support diversity in the futures industry. The mission statement of the new...Boca Raton, FL – FIA President and CEO Walt Lukken today released a white paper that expresses FIA’s concerns about increased fragmentation of the global listed and cleared derivatives markets due... (Feed generated with FetchRSS) […]
Broker Imposter Scams: Remember To Ask And Check
on March 18, 2019 at 4:00 am
FINRA is aware of a recent scheme that involved an unregistered individual impersonating a registered investment professional to lure in potential investors. This scammer created a fake version of a public FINRA BrokerCheck® report of a legitimate broker—picking an experienced broker with a spotless regulatory record. […]
Jurisdictions move forward towards implementing standards for payment, clearing and settlement
on March 14, 2019 at 2:00 pm
CPMI Press release "Jurisdictions move forward towards implementing standards for payment, clearing and settlement", 14 March 2019 […]
Proposed Amendments to NFA Compliance Rule 2-9 to Incorporate Supervision Requirements into Certain...
on March 11, 2019 at 8:28 pm
(Feed generated with FetchRSS) […]
Pablo Hernández de Cos appointed as Chairman of Basel Committee on Banking Supervision
on March 7, 2019 at 12:55 pm
Press release about Pablo Hernández de Cos appointed as Chairman of Basel Committee on Banking Supervision […]
Basel Committee assesses Brazil's implementation of the NSFR regulation and the large exposures framework
on March 7, 2019 at 9:00 am
Press release about Basel Committee assessing Brazil's implementation of the NSFR regulation and the large exposures framework, 7 March 2019. […]
Markets retreat and rebound: BIS Quarterly Review
on March 5, 2019 at 5:00 pm
BIS Press Release - The March 2019 issue of the BIS Quarterly Review - Markets retreat and rebound […]
BCBS/IOSCO statement on the final implementation phases of the Margin requirements for non-centrally cleared derivatives
on March 5, 2019 at 9:00 am
Press release about BCBS/IOSCO statement on the final implementation phases of the Margin requirements for non-centrally cleared derivatives, 5 March 2019. […]
Beware of Fake Check Scams
on March 4, 2019 at 5:00 am
Fake checks purported to be issued by FINRA appear to be back in circulation in 2019. The checks are counterfeit. Our updated Alert warns the public about job-search scams in which people who respond to ads or online job postings receive checks that appear to be from legitimate companies—including FINRA. […]
Basel Committee discusses policy and supervisory initiatives and approves implementation reports
on February 28, 2019 at 4:00 pm
Press release about Basel Committee discussing policy and supervisory initiatives and approves implementation reports, 28 February 2019. […]
High-Yield CD Offers Can Be Bait for High-Commission Investments
on February 21, 2019 at 5:00 am
We are reissuing this alert because, as interest rates have increased in recent months, so have calls to FINRA from investors concerned that promotions for higher-than-average CD rates are in fact pitches for high-commission investment products. […]
CPMI-IOSCO assessment concludes that Switzerland has generally implemented the PFMI
on January 30, 2019 at 2:00 pm
Press release "CPMI-IOSCO assessment concludes that Switzerland has generally implemented the PFMI", 30 January 2019. […]
Committee on the Global Financial System report outlines ways to boost domestic capital markets
on January 23, 2019 at 8:00 am
The Committee on the Global Financial System is issuing a report on "Establishing viable capital markets", 23 January 2019. […]
Basel Committee completes review of Principles for sound liquidity risk management and supervision
on January 17, 2019 at 1:00 pm
Press release about Basel Committee completing review of Principles for sound liquidity risk management and supervision, 17 January 2019. […]
Governors and Heads of Supervision endorse finalised market risk capital framework and Basel Committee work programme
on January 14, 2019 at 6:00 pm
Press release about Governors and Heads of Supervision endorsing finalised market risk capital framework and Basel Committee work programme, 14 January 2019. […]
Yet more bumps on the path to normal: BIS Quarterly Review
on December 16, 2018 at 5:00 pm
BIS Press Release - The December issue of the BIS Quarterly Review - Yet more bumps on the path to norma […]
Basel Committee consults on disclosure requirement to address leverage ratio window-dressing
on December 13, 2018 at 10:00 am
Press release about the Basel Committee consults on disclosure requirement to address leverage ratio window-dressing, 13 December 2018. […]