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Canadian Securities Administrators: Don’t Be “Finfluenced” When Making Investment Decisions

Date 31/10/2023

In recognition of Investor Education Month in October and Financial Literacy Month in November, the Canadian Securities Administrators (CSA) is encouraging all Canadians to prioritize their financial well-being and verify their sources of investment information.
SwapsInfo Third Quarter Of 2023 And Year-To-September 30, 2023 Review

Date 31/10/2023

The latest ISDA SwapsInfo Quarterly Review shows that interest rate derivatives (IRD) traded notional and trade count increased in the third quarter of 2023 compared to the third quarter of 2022, while index credit derivatives trading activity declined over the same period.
NGX Group Unaudited Financial Statement For Q3

Date 31/10/2023

Nigerian Exchange Group Plc (“NGX Group” or “The Group”) announces its unaudited results for nine months ended 30 September 2023.
ISDA Letter On Vision For UK As A Global Finance Center

Date 31/10/2023

On October 25, ISDA CEO Scott O’Malia wrote to Chris Hayward, policy chairman of the City of London Corporation, in response to its report with Oliver Wyman, Vision for Economic Growth, a roadmap to prosperity. The report captures the critical outcomes required to ensure the UK’s position as a leading global finance center. The letter proposes how the City of London Corporation, in partnership with UK authorities, can leverage ISDA’s work on digitization in the derivatives industry and the expansion of the voluntary carbon market.
Finansinspektionen: Protect Consumers’ Access To Payment Accounts

Date 31/10/2023

Banks restrict consumers’ access to payment accounts more than is necessary to manage money laundering risks. We want to see stricter requirements on banks to make assessments of consumers on an individual basis. Banks should also consider whether they can offer a more limited range of services instead of closing a customer’s account.

MIAX Exchange Group - Options And Equities Markets - FINRA Proposal To Amend The Codes Of Arbitration Procedure And Code Of Mediation Procedure To Revise And Restate The Qualifications For Representatives In Arbitrations And Mediations

Date 31/10/2023

FINRA is proposing to amend the Code of Arbitration Procedure for Customer Disputes, the Code of Arbitration Procedure for Industry Disputes, and the Code of Mediation Procedure to revise and restate the qualifications for representatives in arbitrations and mediations in the forum administered by FINRA Dispute Resolution Services (‘‘DRS’’). The proposed amendments would disallow compensated non-attorney representatives from representing parties in the DRS forum and clarify the circumstances in which any person would be prohibited from representing a party in the DRS forum. In addition, the proposed amendments would codify that a student enrolled in a law school participating in a law school clinical program or its equivalent and practicing under the supervision of an attorney may represent investors in the DRS forum.
ISDA Future Cessation Guidance – 2021 ISDA Interest Rate Derivatives Definitions And 2006 ISDA Definitions – ICAPZAR

Date 31/10/2023

ISDA has published the attached guidance for parties to over-the-counter derivative transactions that are affected by the announcement made on September 14, 2023 by TP ICAP that the ICAPZAR rate will cease publication from December 31, 2023.
Public Investors Advocate Bar Association Applauds New DOL Rule That Would Protect Investors From Financial Advisor Abuse - Great News For Main Street Investors And Retirement Savers; Department Of Labor Issues “Conflict Of Interest” Rule Proposal For Public Comment.

Date 31/10/2023

Following the public release of the Department of Labor’s (DOL) newly proposed rule to protect American investors from conflicts of interest when financial professionals give retirement investment advice, the Public Investors Advocate Bar Association (PIABA) issued the following statement.
Nadex Self-Certifies SHIB Cryptocurrency Touch Bracket Contracts

Date 31/10/2023

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.2(a) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”), Nadex self-certified the terms and conditions for its new SHIB Cryptocurrency Touch Bracket Contracts. These contracts will be listed on or after trade date November 3, 2023.
Regnology Announces The Strategic Shift To 100% Hyperscale-Cloud Delivery Of Its Industry-Leading Banking Regulatory And Tax Reporting Solutions - Rcloud Platform Builds On A Carbon-Neutral Reporting Infrastructure To Deliver Superior Operational Efficiency And AI Innovation Capabilities.

Date 31/10/2023

Regnology, a software provider with a focus on regulatory reporting solutions, today announced its strategic decision to move to a 100% cloud delivery of its market-leading regulatory reporting solution suite in 2024, including Regnology Abacus for banking and transaction reporting, and Regnology Tax for client and regulatory tax reporting.