Latest Regulatory Announcements
Leaders Will Address the Cultural Dimensions of “Globalization 4.0” in Davos
Culture and cultural leaders from around the world will feature prominently in the official programme of theAnnual Meeting 2019 in Davos-Klosters
Participation in Securities Settlement Systems Outside the EEA
Securities settlement systems that have been approved by Finanstilsynet have legal protection under the Norwegian Payment Systems Act.
IIROC Releases Compliance Priorities Report for 2018/19
The Investment Industry Regulatory Organization of Canada (IIROC) today published its annual Compliance Priorities Report a review of the issues and trends identified through the past year’s compliance and registration activities, that also provides a preview of areas of regulatory focus for the coming year.
London Stock Exchange Group Launches ‘companies to Inspire Africa 2019’ Report
London Stock Exchange Group launches the second edition of its ‘Companies to Inspire Africa’ report, identifying and celebrating some of Africa’s most dynamic growth businesses.
Weakened International Cooperation Damaging Collective Will to Tackle Global Risks
Rising geopolitical and geo-economic tensions are the most urgent risk in 2019, with 90% of experts saying they expect further economic confrontation between major powers in 2019
LME Progresses New Product Plans as Price Providers Are Announced
The London Metal Exchange (LME) today announces the index price providers for its seven new cash-settled futures products due to launch on 11 March 2019, and provides an update on its lithium contract which is expected to launch in Q4 2019.
Halifax Investment Services Licence Suspended
ASIC has suspended the Australian financial services (AFS) licence held by Halifax Investment Services Pty Ltd (Halifax) until 10 January 2020.
TriOptima Sets New triReduce Record: $250 Trillion Gross Notional Value Compressed at LCH SwapClear During 2018
TriOptima, the leading multilateral compression provider that lowers costs and mitigates risk in OTC markets, today announced that it has set a new record for its triReduce portfolio compression service.
CME Group Achieves Asia Pacific Average Daily Volume of 921,000 Contracts in Q4 2018, Up 45 Percent from Q4 2017ed at LCH SwapClear During 2018
CME Group, the world’s leading and most diverse derivatives marketplace, today announced that it achieved Asia Pacific average daily volume (ADV) of 921,000 contracts in the fourth quarter of 2018, up 45 percent from the corresponding period in 2017.
BCSC Panel Revises and Extends Temporary Orders
A BCSC panel has revised and extended temporary prohibitions that were previously imposed on several individuals, companies and issuers in November 2018.
Investors to Receive Reimbursement for Losses
Investors defrauded by David Michael Michaels will get some money back after the British Columbia Securities Commission (BCSC) obtained money from the sale of Michael’s Hawaiian property and a cash payment from Michaels.
ASIC Takes Court Action Against Advanced Wealth Financial Services
ASIC has commenced proceedings in the Supreme Court of Queensland against Richard Gardner, a credit representative and former financial adviser; and Advanced Wealth Financial Services Pty Ltd (Advanced Wealth Financial Services).
ASIC Imposes Licence Conditions on Kaz Capital
ASIC has imposed additional conditions on the Australian Financial Services licence of Kaz Capital Pty Ltd (Kaz).
SEC Brings Charges in Edgar Hacking Case
The Securities and Exchange Commission today announced charges against nine defendants for participating in a previously disclosed scheme to hack into the SEC’s EDGAR system and extract nonpublic information to use for illegal trading.
TriOptima Launches triCalculate IM Analytics Tool for Initial Margin Compliance
TriOptima, a leading infrastructure service that lowers costs and mitigates risk in OTC derivatives markets, today announced that it has launched triCalculate IM Analytics which provides crucial insight into the options for initial margin (IM) calculation, helps with the identification and prioritization of in-scope counterparties and aids trading decisions to reduce future IM costs.
Ag Producers’ Sentiment Drifts Lower; Trade Disputes Continue to Concern Farmers
There was a modest drop in agricultural producer sentiment in December as farmers’ perception of both current and future economic conditions weakened, according to results from the Purdue University/CME Group Ag Economy Barometer.
ASIC Releases Consultation Paper on Reform of Fees and Costs Disclosure for Superannuation and Managed Investment Schemes
ASIC has today released a consultation paper seeking feedback on proposed changes to the fees and costs disclosure regime for managed investment schemes and superannuation.
DTCC Receives Regulatory Approval to Provide Derivatives Trade Reporting Services in Switzerland in Support of FinfraG
DTCC’s Global Trade Repository continues to add new jurisdictions to provide the industry with a single platform to support global trade reporting
AAT Upholds ASIC’s Decision to Refuse AFS Licence
The Administrative Appeals Tribunal (AAT) has affirmed ASIC’s decision to refuse Michael David Watson an (Australian Financial Services) AFS licence.
Despite Spike in U.S. Corporate Bond eTrading Consolidation Ahead for Platforms
New Greenwich Associates Report Shows Non-Bulge Bracket Dealers and Other New Liquidity Providers Gaining Market Share
