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SIFMA Comments On FINRA CARDS Concept
Date 21/03/2014
SIFMA today submitted comments to the Financial Industry Regulatory Authority (FINRA) regarding FINRA’s concept proposal to develop a Comprehensive Automated Risk Data System (CARDS). While SIFMA supports FINRA’s goal of utilizing technology to make it a more efficient and effective regulator, SIFMA cannot support the CARDS concept. More information as well as further analysis on how the system would be structured and utilized, and a better understanding of what existing FINRA-mandated systems would be replaced is necessary before proceeding any further.
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Protecting The Retail Investor, SEC Chair Mary Jo White, Consumer Federation Of America, 2014 Consumer Assembly, March 21, 2014
Date 21/03/2014
I. Introduction
Good morning. Thank you, Barbara, for that very kind introduction. It is my honor to speak before your Consumer Assembly.
For over 45 years, the Consumer Federation of America (“CFA”) has played a critical role in advancing the interests of consumers through your research, advocacy and education efforts. At the Securities and Exchange Commission, we have a three-part mission -- to protect investors, to ensure fair and efficient markets and to facilitate capital formation. Each part of our mission circles back to the first – to protect investors – because if our markets are not fair and safe, they will not attract investors to provide the capital companies are seeking.
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Shenzhen Stock Exchange Holds A Discussing-Meeting With Securities Companies
Date 21/03/2014
A discussing-meeting was held today by Shenzhen Stock Exchange in hands with the Securities Brokerage Commission to seek advice and hear from the industry regarding the issue that some securities companies opened so-called “VIP” trading channels for its clients.
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ESMA Consults On Major Shareholders Disclosures
Date 21/03/2014
The European Securities and Markets Authority (ESMA) has launched a consultation on draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings and the indicative list of financial instruments subject to notification requirements. The consultation runs until 30 May 2014.
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MtGox: Announcement Regarding The Balance Of Bitcoin Held By The Company
Date 21/03/2014
We inform you as follows with regard to the balance of bitcoins (BTC) held by MtGox Co., Ltd.
- MtGox Co., Ltd. had certain old format wallets which were used in the past and which, MtGox thought, no longer held any bitcoins. Following the application for commencement of a civil rehabilitation proceeding, these wallets were rescanned and their balance researched. On March 7, 2014, MtGox Co., Ltd. confirmed that an old format wallet which was used prior to June 2011 held a balance of approximately 200,000 BTC (199,999.99 BTC). MtGox Co., Ltd. investigated the presence of these 200,000 BTC, immediately reported it to its counsels in the application for commencement of a civil rehabilitation proceedings ("counsels"). A hearing took place on March 8 where a detailed explanation of the situation was made to counsels. Immediately on Monday (March 10), counsels reported the existence of the 200,000 BTC to the Court and the Supervisor.
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MCX Weekly Market Report - March 14, 2014 – March 20, 2014
Date 21/03/2014
Click here to download MCX's weekly market report.
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The UK Pensions Regulator And The Financial Conduct Authority Publish Joint Regulatory Guide
Date 21/03/2014
A new guide that sets out how The Pensions Regulator and the Financial Conduct Authority regulate defined contribution (DC) workplace pensions has been launched today.
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NZX Annual Report 2013
Date 21/03/2014
NZX today issued its Annual Report for the year ended 31 December 2013.
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HKEX: Exchange To Change Some Of Its Connected Transaction Rules
Date 21/03/2014
The Stock Exchange of Hong Kong Limited (the Exchange), a wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited (HKEx), published today (Friday) its consultation conclusions on the following proposed changes to the Listing Rules (the Rules) set out in the consultation papers of 26 April 2013 on:
- Proposed changes to the connected transaction Rules; and
- Proposed changes to align the definitions of connected person and associate in the Rules.
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Malawi Stock Exchange Weekly Trading Report - 21st March, 2014
Date 21/03/2014
Click here to download Malawi Stock Exchange's weekly trading report for week ending 21st March, 2014.
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