News Centre

Alberta Securities Commission Appoints New Chief Accountant And Chief Financial Officer

Date 07/11/2019

The Alberta Securities Commission (ASC) today announced the appointment of Cheryl McGillivray as Chief Accountant and Chief Financial Officer.

Keynote Address - ALI CLE 2019 Conference On Life Insurance Company Products, Dalia Blass, SEC Director, Division of Investment Management, Washington D.C., Nov. 7, 2019

Date 07/11/2019

Introduction

Good morning. Thank you Steve [Roth] for that kind introduction.

It is hard to believe, but this is the third year in a row that I have had the pleasure to speak at this conference. In fact, my first public appearance as Director of the Division of Investment Management (the “Division”) was at the 2017 conference. I appreciate your continued engagement with me and the staff of the Division as we work together to modernize the regulatory framework for variable products. Products that are an integral component of our vibrant markets and that a diverse group of investors look to when planning for retirement and their families’ wellbeing.

CFTC Orders Proprietary Trading Firm To Pay Record $67.4 Million For Engaging In A Manipulative And Deceptive Scheme And Spoofing - Result Is The Largest Total Monetary Relief Ever Ordered In A Spoofing Case

Date 07/11/2019

The U.S. Commodity Futures Trading Commission today issued an order filing and settling charges against Tower Research Capital LLC, a proprietary trading firm, arising from a manipulative and deceptive scheme, spanning nearly two years and involving thousands of occasions of spoofing in equity index futures products traded on the Chicago Mercantile Exchange (CME) and Chicago Board of Trade (CBOT). The order finds that Tower, by and through three former Tower traders, engaged in this unlawful activity while placing orders for, and trading futures contracts through, Tower accounts, which benefited Tower financially while causing $32,593,849 million in market losses.

FSB Plenary Meets In Paris

Date 07/11/2019

The Financial Stability Board (FSB) Plenary met in Paris today to review vulnerabilities in the global financial system, discuss FinTech developments and ongoing work, and agree its work programme for 2020.

AxiomSL Awarded Best Risk Data Aggregation And Reporting Solution Provider By Chartis Research - AxiomSL Singled Out As A RiskTech100® 2020 Solution Winner

Date 07/11/2019

AxiomSL, the leading provider of regulatory reporting and risk management solutions, today announced that it was awarded best solution for “Risk Data Aggregation and Reporting” by Chartis Research, a provider of research and analysis on the global market for risk technology.

Opening Remarks By Oscar N. Onyema, OON, CEO, The Nigerian Stock Exchange, At The “Investing In Osun: Facts Behind The State Economy” Event Thursday, November 7, 2019

Date 07/11/2019

His Excellency, Governor Adegboyega Oyetola - The Executive Governor of the State of Osun And members of the State Delegation, Council Members Present, CEOs of our Dealing Member Firms and our Listed Companies here present, Members of the Executive Committee, Heads of Department and Staff of The Nigerian Stock Exchange, Distinguished Ladies and Gentlemen.

Euronext Publishes Q3 2019 Results - Q3 2019 Net Income Up 25.8% To €63.5m Driven By Organic Growth, Cost Management And Oslo Børs VPS Consolidation

Date 07/11/2019

Euronext, the leading pan-European exchange in the Eurozone with 1,500 listed issuers, today announces its results for the third quarter of 2019.

Opening Statement Of CFTC Commissioner Brian Quintenz Before The CFTC Energy And Environmental Markets Advisory Committee

Date 07/11/2019

Thank you Commissioner Berkovitz for convening today’s meeting of the Energy and Environmental Markets Advisory Committee (EEMAC).  Sadly, I am not able to participate in person due to a prior commitment, but I am looking forward to watching all the panels later via webcast.

EBA Publishes 2020 EU-Wide Stress Test Methodology And Draft Templates

Date 07/11/2019

The European Banking Authority (EBA) published today the final methodology and draft templates for the 2020 EU-wide stress test along with the key milestones of the exercise. The methodology and templates cover all relevant risk areas and incorporate the feedback received during the discussion with the industry in the summer of 2019. The stress test exercise will be formally launched in January 2020 and the results published by 31 July 2020.

Opening Statement Of CFTC Chairman Heath Tarbert Before The Energy And Environmental Markets Advisory Committee

Date 07/11/2019

Good morning.  I am very pleased to be attending my first EEMAC meeting as CFTC Chairman.