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Impact Investing… The Next Wave Has Arrived

Bank Secrecy Act Reform Legislation Advanced Unanimously by House Financial Services Committee

The House Financial Services Committee unanimously recommended to the full House on May 9, 2019 a bill that would reform the U.S. anti-money laundering (AML) regime.  H.R. 2514, the Coordinating Oversight, Upgrading and Innovating Technology, and Examiner Reform Act of 2019 (the COUNTER Act), would amend the Bank Secrecy Act (the BSA), take steps to modernize the U.S. approach to AML compliance, encourage U.S.

ISDA Letter to ESAs on IM Model Requirements

The International Swaps and Derivatives Association, Inc. (ISDA), the Securities Industry and Financial Markets Association (SIFMA), the Securities Industry and Financial Markets Association’s Asset Management Group (SIFMA AMG) and the Association of the Luxembourg Fund Industry (ALFI) (hereinafter the Associations) support the efforts of regulators to help the industry in the implementation of the initial margin (IM) rules applicable to non-centrally cleared derivatives.

Stanford Capital Markets

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.

Margin Bank

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.

CME Group Appoints Trey Berre as Global Head of Data Services

Summary of Conclusions SMSG meeting 11 April 2019

Friday 17 May 2019 15:36

Gold Aspire Consultancy (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’. 

Two REMIT fines in Spain

Two fines have been levied by the CMNC,  the National Regulatory Authority of Spain, both for “physical withholding”: A fine of  5.8M Euros against Endessa Generación, S.A. (see here). A fine of 19.5M Euros against Naturgy Generación, S.A (see here). This follows a spate of other fines this year under REMIT (for example, see here).

Japan Monthly Update – March / April (English)

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