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Assessing the effectiveness of your risk management program

The IIA has published a new Practice Guide, Assessing the Risk Management Process. In IIA-speak, this is recommended but not mandatory guidance for its members. A previous December 2010 Practice Guide, Assessing the Adequacy of Risk Management Using ISO 31000 is still available. I much prefer the earlier version, especially as it talks about meeting […]

FCA to introduce UK Benchmarks Register

We continue to plan for a range of outcomes in relation to Brexit, including the UK leaving the EU without an implementation period on 29 March 2019. To prepare for this scenario, we have developed a new UK Benchmarks Register. The new Register will replace the ESMA Register for UK supervised users, and UK and third-country based benchmark administrators that want their benchmarks to be used in the UK.

CME Group Announces Record Live Cattle Futures Open Interest, Surpassing 450,000 Contracts

Commodity Futures Trading

Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo announced a revised agenda for the CFTC’s open meeting on Monday, March 25, 2019, at 10:00 a.m., to consider the following:

Released:

Harvard Steinberg Trading Group

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

Carolyn Rogers appointed as the next Secretary General of the Basel Committee

Press Release - Carolyn Rogers appointed as the next Secretary General of the Basel Committee, 22 March 2019.

BAT Financial Management (clone of EEA authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

Tradepro Capitals Limited

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

ESMA publishes more MiFID II position limits opinions

ESMA has this week published seven further opinion documents relating to position limits under MiFID II, of which six relate to gas and one to power. This follows the publication of opinions in January (see here). The limits themselves have already been announced by the relevant National Competent Authority (in this case AFM, AMF and … Continue reading

Loans for bad credit (clone of authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

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