ASIC Bans Spectrum Wealth Financial Adviser for Three Years
Spectrum Wealth Financial Adviser, Gurumukh Singh Mehra, has been banned from providing financial services for a period of three years.
October 2018
Financial Adviser Professional Standards Reforms – ASIC Releases New Instrument Delaying Reporting Dates and Making Minor Amendments
Financial Adviser Professional Standards Reforms - ASIC Releases New Instrument Delaying Reporting Dates and Making Minor Amendments.
KiwiSaver nears $50 billion in 2018
The FMA publishes a report every year based on all providers’ statutory data for the year to the end of March. KiwiSaver nears $50 billion in 2018.
London Stock Exchange Group Appoints General Manager For Romania
London Stock Exchange Group Appoints Andreea Stanescu appointment General Manager, Romania.
CME Group Announces First OTC SOFR Swaps Cleared
CME Group, the world's leading and most diverse derivatives marketplace, today announced CME Group Announces First OTC SOFR Swaps Cleared.
Intercontinental Exchange Completes Acquisition of MERS
The ICE announced it has acquired the remaining equity of MERSCORP Holding, Inc., owner of Mortgage Electronic Registrations Systems, Inc. (MERS).
CFA Institute and FINRA Foundation Study Debunks Common Myths about Millennials and Investing
Uncertain Futures: 7 Myths About Millennials and Investing.
SEC Halts Microcap Fraud Scheme Orchestrated Through International Accounts
SEC has filed an emergency action and obtained an asset freeze against two individuals and their companies Microcap Fraud scheme.
Luxembourg and Australia Enter Agreement on Fintech and Regtech
CSSF and ASIC signed an Agreement on Fintech and Regtech which provides a framework for cooperation to understand financial innovation in each jurisdiction.
CFTC Enforcements Up
During the last Fiscal Year, the CFTC filed 83 enforcement actions.
Boursa Kuwait Granted Full Membership of the World Federation of Exchanges
Boursa Kuwait today announced that the exchange has received a unanimous vote for admission as a full member of the World Federation of Exchanges (WFE)
CFTC and ASIC Sign Fintech Cooperation Arrangement
CFTC and ASIC today signed an Fintech Cooperation Arrangement through each other’s CFTC’s LabCFTC and ASIC’s Innovation Hub.
Report from FINRA Board of Governors Meeting – September 2018
Governors Meeting on Sept. 26-27 - Board Approves Rule Proposals, Welcomes New Governor and Confirms Committee Appointments.
Boursa Kuwait and CFA Institute to Launch Boursa Academy New Partnership to Introduce the Fundamentals of Investing to Local Investors
Boursa Kuwait entered into a Memorandum of Understanding (MoU) with CFA Institute aiming to educate the public on the fundamentals of investing.
Canadian Securities Regulators Publish Amendments to Finalize Alternative Mutual Funds Framework
Canadian Securities Regulators Publish Amendments to Finalize Alternative Mutual Funds Framework for alternative mutual funds.
Basel III Monitoring Results Published by the Basel Committee
Basel III Monitoring Results Published by the Basel Committee. All banks continue to meet initial Basel III minimum and target CET1 capital requirements.
First Exchange of Information on Around 2 Million Financial Accounts
First Exchange of Information on Around 2 Million Financial Accounts. The exchange took place within the framework of the global standard.
CME Group Averaged 17.5 Million Contracts Per Day in September 2018, Up 3% from September 2017
CME Group reached average daily volume (ADV) of 17.5 million contracts per day during September 2018, up 3 percent from September 2017.
Intercontinental Exchange Reports September and Third Quarter 2018 Statistics
Intercontinental Exchange today reported September and Third Quarter 2018 trading volume and related revenue statistics which can be viewed on the website.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.