0 - 2017 - Planet Compliance

SEC Files Charges in Trading Scheme Involving Confidential Government Information

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The Securities and Exchange Commission today announced charges in an alleged insider trading scheme involving tips of nonpublic information about government plans to cut Medicare reimbursement rates, which affected the stock prices of certain publicly traded medical providers or suppliers. The SEC’s complaint alleges that David Blaszczak, a former government employee turned political intelligence consultant, …

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ESMA clarifies traded on a trading venue under MiFID II

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The European Securities and Markets Authority (ESMA) has issued today an opinion regarding the implementation of the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR).

International regulator issues report on FinTech Credit

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Today the Bank for International Settlements (BIS) published a report on FinTech credit with a view to market structure, business models and financial stability implications. FinTech credit refers to credit activity facilitated by electronic platforms. This usually involves borrowers being matched directly with investors, although some platforms use their own balance sheet to lend. FinTech platforms …

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Equity Crowdfunding without borders – the regulatory obstacles of campaigns in different jurisdictions

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The European Question One problem Equity Crowdfunding campaigns in Europe sometimes face is the limitation to a certain jurisdiction and therefore a reduced market exposure. For example, a project may be very promising but having to limit it to a national market because the platform running the project only allows investors from that are nationals of …

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Commission proposes simpler and more efficient derivatives rules

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The European Commission is proposing some targeted reforms to improve the functioning of the derivatives market in the EU. The reforms provide simpler and more proportionate rules for over-the-counter derivatives to reduce costs and regulatory burdens for market participants without compromising financial stability. A good example of better regulation in practice, this is essential to …

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European regulator concerned about national watchdogs' MiFID supervisory practices

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The European Securities and Markets Authority (ESMA) has published a Follow-up Report on the actions undertaken by ten National Competent Authorities (NCAs) in addressing deficiencies identified in the 2014 Peer Review on MiFID Conduct of Business rules relating to fair, clear and not misleading information (2014 Review). ESMA welcomes the efforts made by most of …

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CFTC Launches LabCFTC as Major FinTech Initiative

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The U.S. Commodity Futures Trading Commission (CFTC) today approved the creation of LabCFTC, a new initiative aimed at promoting responsible FinTech innovation to improve the quality, resiliency, and competitiveness of the markets the CFTC oversees. Located in New York LabCFTC will also look to accelerate CFTC engagement with FinTech and RegTech solutions that may enable …

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Hedge Fund Compliance: Risks, Regulation, and Management – An interview with Jason A. Scharfman

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Hedge Funds have long been perceived as practically standing outside financial services regulation but these days seem to be all but a distant memory. In light of a number of smaller and larger scandals as well as the fallout of the Global Financial Crisis, they have come under more scrutiny and Compliance is a growing …

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SEC Charges Former Head Traders at Nomura With Fraud

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The Securities and Exchange Commission today charged a pair of former head traders who ran the commercial mortgage-backed securities (CMBS) desk at Nomura Securities International Inc. with deliberately lying to customers in order to inflate the profits of the CMBS desk and line their own pockets as a result. The SEC alleges that James Im …

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2017

SEC Files Charges in Trading Scheme Involving Confidential Government Information

ESMA clarifies traded on a trading venue under MiFID II

International regulator issues report on FinTech Credit

Equity Crowdfunding without borders – the regulatory obstacles of campaigns in different jurisdictions

Commission proposes simpler and more efficient derivatives rules

European regulator concerned about national watchdogs' MiFID supervisory practices

CFTC Launches LabCFTC as Major FinTech Initiative

Hedge Fund Compliance: Risks, Regulation, and Management – An interview with Jason A. Scharfman

SEC Charges Former Head Traders at Nomura With Fraud

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