FTSE Mondo Visione Exchanges Index:
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Handling Complaints And Paid Representatives: ASIC Provides Financial Firms With Guidance
Date 27/08/2020
ASIC recently published Regulatory Guide 271 Internal Dispute Resolution (RG 271). The guide updates requirements for financial firms in dealing with consumer and small business complaints under their Internal Dispute Resolution (IDR) procedures.
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New Zealand Financial Markets Authority: WorkSafe Guidelines For Financial Services businesses And Staff Under COVID-19 Alert Level 3
Date 27/08/2020
Financial services businesses and staff who can operate from home must do so. Workplaces may open if the work cannot be done from home and the workplace can operate consistently within public health guidance and ensure the appropriate protections for workers and where applicable customers. If you are unsure about what activities you can undertake, please contact the FMA or RBNZ.
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ASIC Provides Relief For Companies Planning An Initial Public Offering
Date 27/08/2020
Following public consultation, ASIC has issued regulatory relief to help reduce red tape for companies undertaking an initial public offer (IPO).
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Australian Financial Markets Association: Financial Markets An Integral Part Of COVID-19 Economic Recovery
Date 27/08/2020
In its Pre-Budget submission to the Federal Government, the Australian Financial Markets Association (AFMA) has called for action to support the vital role of financial markets in the economic recovery from the COVID-19 pandemic.
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The Bermuda Stock Exchange And Parent Company Miami International Holdings, Inc. Announce $1.35 Billion Debt Listing For The Government Of Bermuda
Date 26/08/2020
Miami International Holdings, Inc. (MIH), the majority stockholder of the Bermuda Stock Exchange (BSX) and parent holding company of the MIAX Exchange Group™, today announced that the BSX has listed Senior Notes totaling principal amount of US$1.35 billion for the Government of Bermuda.
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SEC Fee Rate Advisory #1 For Fiscal Year 2021
Date 26/08/2020
The Securities and Exchange Commission today announced that in fiscal year 2021 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $109.10 per million dollars.
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New Zealand Financial Markets Authority Appoints New Director Of Investment Management
Date 26/08/2020
The Financial Markets Authority (FMA) has strengthened its executive team, appointing Paul Gregory to the newly created role of Director of Investment Management.
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SEC Charges BorgWarner For Materially Misstating Its Financial Statements
Date 26/08/2020
The Securities and Exchange Commission today announced settled charges against BorgWarner Inc., a motor vehicle parts manufacturer headquartered in Auburn Hills, Michigan, for materially misstating its financial statements by failing to account for certain asbestos liabilities.
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SEC Monitoring Impact Of Hurricane Laura On Capital Markets
Date 26/08/2020
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Laura on investors and capital markets.
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CFTC Swaps Report Update
Date 26/08/2020
CFTC's Weekly Swaps Report has been updated, and is now available.
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