SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets

The Securities and Exchange Commission today announced that it has proposed to amend Form 13F to update the reporting threshold for institutional investment managers and make other targeted changes . The threshold has not been adjusted since the Commission adopted Form 13F over 40 years ago . Form 13F was adopted pursuant to a 1975 statutory directive designed to provide the Commission with data from larger managers about their investment activities and holdings, so that their influence and i...

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Alert for firms using Digicert SSL certificates

This issue may not be relevant to all firms, but given the importance of valid certificates we feel it is important to flag . Due to the technical implications of this alert, firms should consider passing this message to the CISO/CTO/CIO as appropriate . We understand this is an issue that goes beyond the financial services sector so it may be prudent to check with any important suppliers or third-parties . Should you identify an issue please contact your provider directly . More informa...

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Bond Select UK / selectbonds.uk

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.

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Compare Bond / compare-bond

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.

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WITAN INVESTMENT TRUST PLC (clone of FCA 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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ESMA updates its opinion on ancillary activity calculations

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, published today an updated Opinion on ancillary activity calculations . The opinion provides the estimation of the market size of commodity derivatives and emission allowances for 2019 . ESMA has prepared these estimations based on data reported to the ESMA FITRS system as well as data reported to trade repositories under EMIR . Market participants, under the revised Markets in Financial I...

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2020-07-10 - SNB Working Papers - Double overreaction in beauty contests with information acquisition: theory and experiment

Double overreaction in beauty contests with information acquisition: theory and experiment Romain Baeriswyl, Kene Boun My, Camille Cornand SNB Working Papers 9/2020 Legal Issues DISCLAIMER The views expressed in this paper are those of the author(s) and do not necessarily represent those of the Swiss National Bank . Working Papers describe ...

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ESMA publishes Guidelines on Securitisation Repository Data Completeness and Consistency Thresholds

ESMA publishes Guidelines on Securitisation Repository Data Completeness and Consistency Thresholds Friday 10 July 2020 11:04 The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today published its final report on the Guidelines on securitisation respository data completeness and consistency thresholds. The Guidelines provide clarity for market participants and securitisation repositori...

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Annual Report and Accounts 2019/20 and Annual Public Meeting

We normally publish our Annual Report and Accounts in July . However, the coronavirus (Covid-19) pandemic has created unprecedented challenges for the National Audit Office in completing the audit of the FCA’s financial statements, as well as those of other public bodies, in the usual timeframe . This means we will be unable to lay the document in Parliament in July . In response to the challenges caused by the pandemic affecting a number of other government entities, HMT has announced a g...

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Bond Compare UK

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.

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