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DTCC names Ann Shuman general counsel

The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced that Ann Shuman, DTCC Managing Director and Deputy General Counsel, has been appointed General Counsel, effective February 1, 2017.

/Legal

Mastercard welcomes UK court ruling on interchange fees

Mastercard statement on favorable judgment of Popplewell J. of the UK Commercial Court regarding UK retailer action on Interchange Fees.

/Legal

EU Parliament suggests robots be classified as 'electronic persons' for liability issues

EU rules for the fast-evolving field of robotics, to settle issues such as compliance with ethical standards and liability for accidents involving driverless cars, should be put forward by the EU Commission, urged the Legal Affairs Committee on Thursday.

/Legal

Financial Recovery appoints Nasdaq, Thomson Reuters vet Cotter as chief revenue officer

Financial Recovery Technologies ("FRT"), a leading securities class action recovery services provider, has appointed Michael Cotter as its first Chief Revenue Officer.

/Legal

Cyber-criminal gets five years for £840K phishing fraud

A 29-year-old cyber criminal has been jailed following an investigation by the Metropolitan Police’s Falcon Cyber Crime Unit.

/Legal

D2 Legal appoints Peter Newton as COO

D2 Legal Technology (D2LT), the independent financial services legal data and technology consulting firm, has appointed Peter Newton as Chief Operating Officer, as part of its growth strategy in the Capital and Commodities markets.

/Legal

Seamless Seqr mobile payments tech set for US patent

Stockholm Nasdaq-listed Seamless has obtained a Notice of Allowance (patent application no. 14/347,742) from the United States Patent and Trademark Office (USPTO) for its SEQR mobile payment solution.

/Legal

Clifford Chance applies AI to unearth legal implications of financial regs

International Law firm Clifford Chance LLP is working with Neota Logic Ltd, providers of intelligent software for legal and compliance, to develop automated solutions for assessing the impacts of regulatory rule changes on financial institutions.

/Legal

RBC gets Canadian patent for Thor smart order router

Thor technology, a smart order router that significantly enhances investors' ability to access liquidity in the market and receive the best prices and execution, has been granted a patent in Canada by the Canadian Intellectual Property Office.

/Legal

Lords Committee to hear evidence on what Brexit will mean for UK financial sector

On Wednesday 7 September 2016, leading academics and industry experts will give evidence on the impact of Brexit on the UK’s financial services to the House of Lords EU Financial Affairs Sub-Committee.

/Legal

Artemis selects behavioural analytics software for compliance from Sybenetix

Leading UK-based fund manager Artemis has agreed a multi-year deal for Sybenetix’s end-to-end market abuse surveillance, case management and conduct management system.

/Legal

EU instigates new rules to fight insider dealing and market manipulation

A revamped EU legal framework, applicable as of 3 July, will ensure even more efficient, transparent and trustworthy European financial markets.

/Legal

Europol hails money mule crackdown

From 22 to 26 February 2016, law enforcement agencies and judicial bodies from Belgium, Denmark, Greece, the Netherlands, the UK, Romania, Spain and Portugal – with further support from Moldova and other countries – joined forces in the first coordinated European action against money muling.

/Legal

US court dismisses Venezualan central bank suit over publication of black market currency rates

A U.S. District Court on Friday dismissed a lawsuit filed by the government of Venezuela, through its state-controlled Central Bank, aimed at shuttering DolarToday.com, a U.S.-based media outlet.

/Legal

EU adopts new rules on central clearing for credit derivatives

The European Commission has adopted a new set of rules that requires certain over-the-counter (OTC) credit derivative contracts to be cleared through central counterparties (CCPs).

/Legal

Parker Fitzgerald appoints Jeremy Scott to its executive board

Parker Fitzgerald (PFG), the specialist management consultancy, announces today the appointment of Jeremy Scott, former Global Financial Services leader and Global Board member at PwC, to its Executive Board as Head of Institutional Relationships.

/Legal

CMA extends timetable for retail banking market investigation

The CMA expects to extend the timetable for its investigation into the retail banking market.

/Legal

Finra sanctions Fidelity Brokerage Services $1 million for supervisory failures

The Financial Industry Regulatory Authority (FINRA) announced today that it fined Fidelity Brokerage Services LLC $500,000 and ordered the firm to pay nearly $530,000 in restitution for failing to detect or prevent the theft of more than $1 million from nine of its customers, eight of whom were senior citizens.

/Legal

FCA fines Threadneedle Asset Management Limited £6m

The Financial Conduct Authority (FCA) has fined Threadneedle Asset Management Limited (TAML) £6,038,504 for failing to put in place adequate controls in the fixed income area of its front office, and for providing inaccurate information to the regulator and for failing to correct the inaccurate representation for four months.

/Legal

SFC reprimands and fines three JP Morgan entities a sum of HK$30 million for regulatory breaches

The Securities and Futures Commission (SFC) has reprimanded J.P. Morgan Broking (Hong Kong) Limited (JPMBHK), J.P. Morgan Securities (Asia Pacific) Limited (JPMSAP) and J.P. Morgan Securities (Far East) Limited (JPMSFE) (collectively “JP Morgan”), and fined them $15 million, $12 million and $3 million respectively for various regulatory breaches and/or internal control failings.

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