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MIAX: Consolidated Audit Trail Compliance Rules Information

Date 02/07/2020

FINRA has published a Regulatory Notice providing an update on coordination between the national securities exchanges and FINRA on the Consolidated Audit Trail (“CAT”) compliance rules (the “CAT Compliance Rules”).
ISDA: Review Of The MIFID II/MIFIR Framework

Date 02/07/2020

The revised Markets in Financial Instruments Directive and Markets in Financial Instruments Regulation (MIFID II/MIFIR) were critical elements of the European Union’s (EU) effort to address shortcomings exposed by the financial crisis. Among other things, the framework was aimed at incentivizing the trading of standardized over-the-counter derivatives on exchanges and electronic trading platforms where appropriate, in order to improve transparency and ensure a level playing field between existing trading execution techniques.
Canadian Securities Regulators Introduce Guidance For Flexible Chief Compliance Officer Arrangements For Businesses

Date 02/07/2020

The Canadian Securities Administrators (CSA) today announced guidance that will allow firms to implement more flexible chief compliance officer (CCO) arrangements that better align with their operational needs and business models. The guidance published today outlines three CCO models tailored to the needs of small businesses, specialized businesses, and firms with multiple lines of business.
CME Group Reports June And Second-Quarter 2020 Market Statistics

Date 02/07/2020

CME Group, the world's leading and most diverse derivatives marketplace, today reported its June and second-quarter 2020 market statistics, showing it reached average daily volume (ADV) of 17.6 million contracts during the quarter and 17.1 million contracts during the month of June. Open interest at the end of June was 101 million contracts. Market statistics are available online in greater detail at https://cmegroupinc.gcs-web.com/monthly-volume.
BOX Exchange: Position And Exercise Limit Increases For Options On Certain Exchange Traded Funds

Date 02/07/2020

BOX Exchange LLC (“BOX”) recently filed a proposed rule change1 to increase position and exercise limits for options on the following exchange traded funds (“ETFs”).

Moscow Exchange: Risk Parameters Change On Derivatives Market During Holidays On Foreign Exchanges

Date 02/07/2020

Due to Holidays on foreign exchanges on July 3, 2020 CCP NCC sets the following risk parameters on Derivatives market:
Hong Kong Securities And Futures Commission Commences False Trading Prosecution Against Retail Investor

Date 02/07/2020

The Securities and Futures Commission (SFC) today commenced criminal proceedings at the Eastern Magistrates’ Court against Mr Ke Wen Hua for alleged false trading in the shares of Carry Wealth Holdings Limited on 4 September 2012.
Nick Garnish Appointed Chairman Of CISI Risk Professional Forum Committee

Date 02/07/2020

The Chartered Institute for Securities & Investment (CISI) is delighted to announce that Nick Garnish, Chartered MCSI has been appointed Chairman of the CISI Risk Professional Forum Committee.
Competition And Consumer Commission Of Singapore Raises Competition Concerns On The Proposed Acquisition By London Stock Exchange Group Plc Of Refinitiv Holdings Limited

Date 02/07/2020

The Competition and Consumer Commission of Singapore (“CCCS”) has completed its Phase 1 review[1] of the proposed acquisition by London Stock Exchange Group plc (“LSEG”) of sole control over Refinitiv Holdings Limited (“Refinitiv”) (collectively, the “Parties”) (the “Proposed Transaction”).
BIS: Basel Committee Finalises AML/CFT Guidelines On Supervisory Cooperation

Date 02/07/2020

The Basel Committee on Banking Supervision today issued the updated version of its guidelines on Sound management of risks related to money laundering and financing of terrorism, with guides on the interaction and cooperation between prudential and anti-money laundering and combatting the financing of terrorism (AML/CFT) supervisors.