Washington D.C., Jan. 22, 2021 — The Securities and Exchange Commission today announced that Paul Munter will serve as the Acting Chief Accountant upon the departure of Sagar Teotia in February. Since 2019, Mr. Munter has served as Deputy Chief Accountant leading the international work in the agency’s Office of the Chief Accountant. As Acting […]
Melissa Hodgman Named Acting Director of Division of Enforcement
Washington D.C., Jan. 22, 2021 — The Securities and Exchange Commission today announced Melissa R. Hodgman, currently an Associate Director in the Commission’s Division of Enforcement, has been named Acting Director of the Division of Enforcement. “Melissa’s dedication to investor protection, broad experience in the Division, and proven track record of collaboration and creative problem […]
Small Business Capital Formation Advisory Committee Jan. 29 Meeting to Focus on Smaller Public Company Markets
Washington D.C., Jan. 22, 2021 — The Securities and Exchange Commission today released the agenda for the Friday, Jan. 29 meeting of its Small Business Capital Formation Advisory Committee, which will focus on the experiences of smaller public companies and the Commission’s recent Securities Act Rule 701 and Form S-8 proposals. The Committee’s morning session will […]
Insider dealer Walid Choucair ordered to pay £3.9 million in confiscation
In addition, the Court ordered Choucair to pay £403,552 in prosecution costs to the FCA. In June 2019, Walid Choucair (04/03/1979) was sentenced to 3 years’ imprisonment in respect of five offences of insider dealing alongside Fabiana Abdel-Malek (17/09/1982) taking place in 2013/4. The trial was brought by the FCA. The amount of the confiscation […]
ESMA Staff Stakeholder contacts in the Second Quarter 2020
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Allison Herren Lee Named Acting Chair of the SEC
Washington D.C., Jan. 21, 2021 — The Securities and Exchange Commission announced today that President Joseph R. Biden, Jr. has designated Allison Herren Lee as Acting Chair of the agency. “It’s an honor to continue my service on the Commission in this new role,” Acting Chair Lee said. “I have tremendous respect for my colleagues on […]
FCA Proposes CMC fee price cap
The Financial Conduct Authority (FCA) has published proposals to introduce a price cap on the fees claims management companies (CMCs) charge their customers in relation to claims for financial products and services. Some consumers currently pay fees of more than 40% of the redress they receive. The proposed cap restricts this, and will mean CMCs […]
ESMA updates Guidelines on written agreements between CCP college members
The revised Guidelines take into account changes to composition, functioning and management of CCP colleges which were introduced by amendments to the regulatory technical standards (RTS) on CCP colleges, and by EMIR 2.2. The objective of the Guidelines is to ensure common, uniform and consistent application of the RTS on CCP colleges and Articles 18 […]
Guidelines on written agreements between members of CCP colleges
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November Factsheet PR final BD
Publication Date: 30/11/2020 Theme: Research and Statistics Topic: Statistics Original Article