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Going Public
After months of preparations and regulatory negotiations, BSE completed its initial public offering on Feb. 3.
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EMIR Under Review
Steven Maijoor, the chairman of the European Securities and Markets Authority, called for "an ambitious EMIR review" in a Jan. 23 speech in Amsterdam.
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Cross-Border Cooperation
The Securities and Futures Commission of Hong Kong signed a memorandum of understanding on Jan. 18 with the Securities and Exchange Commission of the U.S. providing for consultation, cooperation and the exchange of information regarding the supervision and oversight of regulated entities that operate on a cross-border basis in the two jurisdictions.
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Startup Success
Axoni, a developer of distributed ledger technology for the financial services industry, raised $18 million in capital in December in its first big round of funding from banks and venture capital investors.
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Chicago finance community raises over $100k for tech education
Just before Thanksgiving, the Chicago trading community joined together with some of the city’s leading tech and start-up firms to raise money for technology education… and battle for table tennis glory.
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Preparing for Failure
The Financial Stability Board is making progress toward its goal of establishing global standards for resolving clearinghouses that have passed the point of recovery.
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Blockchain Gang
The Depository Trust and Clearing Corporation in January selected IBM, Axoni, and R3 to build a distributed ledger to handle certain post-trade processing functions for credit derivatives.
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Market Surveillance
The U.S. equity markets have moved a step closer to establishing a consolidated audit trail for equities and equity options that will track all orders throughout their lifecycle, addressing a major weakness in the ability of regulators to monitor these markets.
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FCM Capital
On Jan. 26, the CFTC's division of swap dealer and intermediary oversight issued a no-action letter enabling futures commission merchants to withdraw excess residual interest in cleared swaps customer accounts under certain conditions.
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Dodd-Frank Revamp
On Feb. 3, President Trump issued an executive order outlining seven core principles for financial market oversight and calling on regulators to review existing laws and regulations to determine if they promote these principles.
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