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Ontario Securities Commission Publishes Charter For Innovation Office - Office Aimed At Being A Catalyst In Innovative Regulation That Promotes Confidence And Economic Growth

Date 29/10/2020

The Ontario Securities Commission today published a Charter that sets out the vision, role and strategic objectives of its Office of Economic Growth & Innovation (Innovation Office), a new branch of the Commission focused on supporting economic growth and innovation in Ontario’s capital markets.
Superintendent Lacewell Announces New York State Department Of Financial Services Expands Efforts To Ensure Financial Services Industry Manages Financial Risks From Climate Change - Department Advises New York-Regulated Financial Institutions To Integrate Financial Risks From Climate Change Into Their Governance Frameworks, Risk Management Processes, And Business Strategies - Follows Similar Guidance To New York-Regulated Insurers, Ensuring That All New York-Regulated Entities Manage Climate Risks

Date 29/10/2020

Superintendent of Financial Services Linda A. Lacewell today announced that the Department of Financial Services (DFS) has broadened its efforts to ensure that all of the Department’s regulated entities prudently manage the financial risks from climate change.
FINRA - New Research: Financial Literacy Is Significant Indicator Of Positive Future Financial Outcomes And Behaviors - Varying Levels Of Financial Knowledge Among Americans May Deepen Inequality

Date 29/10/2020

Financial literacy is a strong indicator of positive financial outcomes for the future, but differing levels of financial literacy among Americans may contribute to widening inequality among different segments of the population, according to a new study by the FINRA Investor Education Foundation (FINRA Foundation), the University of Southern California's Center for Economic and Social Research (CESR) and The George Washington University's Global Financial Literacy Excellence Center (GFLEC).
Canadian Securities Regulators Provide Guidance To Issuers On Reporting Impact Of Covid-19

Date 29/10/2020

The Canadian Securities Administrators (CSA) published its biennial report on its continuous disclosure review program. Due to the ongoing impact of the COVID-19 pandemic, the report also includes guidance for issuers on reporting the impact of COVID-19.
SIFMA Fixed Income Market Close Recommendation In The U.S., The U.K. And Japan For The U.S. Veterans Day Holiday

Date 29/10/2020

SIFMA has confirmed its previous recommendation for a full market close on Wednesday, November 11 for the trading of U.S. dollar-denominated fixed income securities in the U.S., UK and Japan in observance of the U.S. Veterans Day Holiday.

Ontario Securities Commission, Alberta Securities Commission And Autorité Des Marchés Financiers Invite Businesses To Participate In Cross-Border Testing

Date 29/10/2020

The Ontario Securities Commission (OSC), Alberta Securities Commission (ASC) and Autorité des marchés financiers (AMF) are inviting businesses in their respective markets to apply to test innovative products, services and business models across international borders.
CFTC Announces Organizational Changes To Enhance Agency’s Operational Effectiveness - Dr. Tamara Roust Joins The CFTC As Chief Data Officer To Lead New Division Of Data

Date 29/10/2020

The Commodity Futures Trading Commission today announced it has completed negotiations to reorganize certain portions of the agency to enhance the CFTC’s operational effectiveness. The changes will take effect November 8, 2020.
Raquel Fox, Director Of The Office Of International Affairs, To Depart SEC

Date 29/10/2020

The Securities and Exchange Commission today announced that Raquel Fox, Director of the Office of International Affairs, will leave the agency in November.
ESMA Submits Two Draft Technical Standards Under The Revised Market Abuse Regulation To The European Commission

Date 29/10/2020

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today published the Final Report on the amendments to the Market Abuse Regulation (MAR) for the promotion of the use of SME Growth Markets (SME GMs). These amendments focused on liquidity contracts and insider lists for SME GMs.
SEC Awards Over $10 Million To Whistleblower

Date 29/10/2020

The Securities and Exchange Commission today announced an award of over $10 million to a whistleblower whose information prompted the opening of an investigation and provided substantial, ongoing assistance to SEC staff throughout the investigation. In more than a dozen communications with the staff, the whistleblower provided key evidence, helped decipher communications, and distilled complex issues.