October 2018
Canadian Securities Regulators Highlight Cross-Country Activities for Investor Education Month and World Investor Week
The Canadian Securities Administrators (CSA) will mark Investor Education Month this October with a variety of activities designed.
FCA Fines Tesco Bank £16.4m for Failures in 2016 Cyber Attack
FCA has fined Tesco Bank £16.4m for failing to exercise due skill, care and diligence in protecting its current account holders against a cyber attack.
World Investor Week Encourages Investors to Take the Plunge
The Financial Markets Authority (FMA) has launched a new campaign for World Investor Week to help New Zealanders become more confident investors.
CME Group and Nasdaq Extend Exclusive Nasdaq-100 Futures License Through 2029
CME Group and Nasdaq today announced a ten-year extension of CME Group's exclusive license to offer futures and options on futures based on the Nasdaq-100.
ASIC and CDPP Successfully Appeal Sentence of Former CBA Financial Planner
ASIC and the Commonwealth Director of Public Prosecutions have successfully appealed the sentence of a former senior CBA Financial Planner.
BCSC Study Finds Millennials Understand Investment Fees Better Under CRM2, But are the Least Loyal of Investors when it Comes to Advisor Relationships
BCSC Study Finds Millennials Understand Investment Fees Better Under CRM2, But are the Least Loyal of Investors when it Comes to Advisor Relationships.
FINRA and FINRA Investor Education Foundation Promote World Investor Week 2018
FINRA Investor Education Foundation (FINRA Foundation) join securities regulators and investor advocates around the globe.
Finanstilsynet Adjusts Position Limits for the Commodity Derivative German Power Due to the Bidding Zone Split of the German-Austrian Power Market
Finanstilsynet Adjusts Position Limits for the Commodity Derivative German Power Due to the Bidding Zone Split of the German-Austrian Power Market.
2nd Judge Rules Virtual Currency a Commodity
CFTC has the power to prosecute fraud involving virtual currency and denying the defendants’ motion to dismiss the CFTC’s amended complaint.
OECD, IEEE and DQI Announce Platform for Coordinating Digital Intelligence Across Technology and Education Sectors
Three leading global organizations - OECD, IEEE and DQI Announce Platform for Coordinating Digital Intelligence Across Technology and Education Sectors.
NSE Receives SEBI Approval for Future Contracts in Gold and Silver
NSE Receives SEBI Approval for Future Contracts in Gold and Silver for launch of the Commodity Derivative Segment on September 21, 2018.
September 2018
ASIC Releases Guidance on Code of Ethics Compliance Schemes for Financial Advisers
ASIC has today released guidance on its proposed approach to approving and overseeing compliance schemes for financial advisers.
FIA Announces Fintech Startups Chosen for Fourth Annual Innovators Pavilion
FIA today announced that 15 companies have been chosen to exhibit in the FIA Innovators Pavilion at the 34th Annual Futures & Options Expo.
TMX Announces Organizational Changes
TMX group Announces Organizational Changes at two of its subsidiaries.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.