Canadian Securities Regulators Provide Update on Trading Fees and Rebates Pilot Study
The CSA has selected the following group of researchers with expertise in Canadian equity market structure to design and conduct the Rebates Pilot Study.
August 2018
SFC Cautions Against Disguised Margin Financing
SFC Cautions Against Disguised Margin Financing. The Commission, in the course of its ongoing supervision of licensed corporations (LCs)
ASIC’s Review of Exchange Traded Products Identifies Areas for Improvement
ASIC has completed a review of the exchange traded products (ETP) market in Australia, including exchange traded funds, ensuring promises to investors.
ASIC Approves the Banking Code of Practice
ASIC has approved the Australian Banking Association’s (ABA’s) new Banking Code of Practice (the Code) and commence operation from 1 July 2019.
ASIC Updates Guidance for Funds Management Industry
ASIC has released a suite of seven new and updated regulatory guides to provide comprehensive guidance to the funds management industry.
IBF’s Career Centre to Help Financial Industry Professionals With Skills Upgrading and Job Matching
Financial industry professionals can now seek skills upgrading, career advisory and job matching opportunities at the IBF's new career center.
Singapore to Undergo IMF’s Financial Sector Assessment Programme
The Monetary Authority of Singapore (MAS) announced today that Singapore will undergo the IMF's Financial Sector Assessment Programme (FSAP) this year.
FCA Consults on Rules and Guidance to Improve Conduct and Communications in Payment Services and e-Money Firms
FCA is consulting on rules and guidance to improve conduct standards and communications in the payment services and e-Money Firms sector.
Statement on the Further Investigative Steps in Relation to RBS GRG
FCA has provided an update on its Investigative Steps in to Royal Bank of Scotland’s (RBS) treatment of small and medium-sized enterprise (SME) customers.
Euronext Appoints Chris Topple as CEO of Euronext London
Euronext today announces that the Supervisory Board has approved unanimously the appointment of Chris Topple as CEO of Euronext London.
July 2018
KPMG Announces New Integration With Google Cloud Contact Center AI
KPMG International today announced an integration of its Intelligent Interactions solution with Google Cloud's new Contact Center AI.
Kazakhstan: Clearstream’s 57th Market Link
Clearstream is the first ICSD establishing a link to Kazakhstan / Citibank Kazakhstan JSC will act as local custodian and cash correspondent bank.
NYSE Completes Historic First Half of 2018
NYSE Completes Historic First Half, marked a number of milestones in the first half of 2018, positioning itself for continued growth.
FINRA Requests Comment on Fintech Innovation in the Broker-Dealer Industry
FINRA today issued a Special Notice seeking comment on how it can support Fintech Innovation consistent investor protection and market integrity.
CME Group Inc. Reports Second-Quarter 2018 Financial Results
Financial Results, CME Group Inc. (NASDAQ: CME) today reported revenue of $1.06 billion and operating income of $667 million for the second quarter of 2018.
FCA Proposes Changes to Rules for Crowdfunding Platforms
Following a post-implementation review of its crowdfunding rules, FCA is opening a consultation on new rules for loan-based crowdfunding platforms.
US DOJ Charges Two Former Deutsche Traders with Spoofing
US DOJ Charges Two Former Deutsche Traders with Spoofing.
Credit Risk: The Definition of Default (BOE)
Credit Risk: The Definition of Default; PRA sets out its proposed approach to implementing the EBA’s recent regulatory products.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.