FTSE Mondo Visione Exchanges Index:
News Centre
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SGX RegCo Enhances Rules Governing Mainboard Listings Review, Increases Oversight Over IMs And Due Diligence Standards
Date 10/01/2020
Singapore Exchange Regulation (SGX RegCo) is incorporating The Association of Banks in Singapore (ABS) Listings Due Diligence Guidelines (ABS Guidelines) and Issue Managers (IM) independence requirements into the Mainboard Listing Rules. SGX RegCo is also strengthening its oversight of IMs as part of overall enhancements to regulations governing the Mainboard listings review process.
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Taiwan Futures Exchange Newsletter January 2020
Date 10/01/2020
TAIFEX reported its total trading volume of 260,765,482 contracts in 2019, with an average daily volume (ADV) of 1,077,543 contracts. The after-hour trading, introduced in May 2017, continued its growth momentum in 2019, with a year-on-year increase of 6.50%, and accounted for 22.96% of the total trading volume. During the course of 2019, TAIFEX has also seen rising volumes in its international products, including TOPIX Futures, DJIA Futures and S&P 500 Futures. Among these products, the most actively traded DJIA Futures reached a record of 2,209,699 contracts, and also hit all-time high ADV of 9,131 contracts, marking an increase of 53.82% year-on-year. Furthermore, foreign participation at TAIFEX kept climbing up, and reached its peak to 20.74% in 2019. The product innovation and mechanism improvement attributed to another sterling year for TAIFEX.
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SEC Issues Agenda For Inaugural Meeting Of The Asset Management Advisory Committee
Date 09/01/2020
The Securities and Exchange Commission today released the agenda for the inaugural meeting of the Asset Management Advisory Committee, which will be held on Jan. 14, 2020, at 9 a.m. ET. The Committee was formed to provide the Commission with diverse perspectives on asset management and related advice and recommendations.
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Alberta Securities Commission: Exempt Market Dealer Agrees To Settlement
Date 09/01/2020
The Alberta Securities Commission (ASC) has concluded a Compliance Settlement Agreement with Northern Alliance Financial Corporation (Northern Alliance).
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SEC Fee Rate Advisory #2 For Fiscal Year 2020
Date 09/01/2020
The Securities and Exchange Commission announced that starting on Feb. 18, 2020, the fee rates applicable to most securities transactions will be set at $22.10 per million dollars.
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FINRA Releases 2020 Risk Monitoring And Examination Priorities Letter
Date 09/01/2020
FINRA today released its 2020 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas of ongoing concern that FINRA will continue to focus on in the coming year.
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Canadian Securities Regulators Announce Consultation On An Access Equals Delivery Model For Public Companies
Date 09/01/2020
The Canadian Securities Administrators (CSA) today published CSA Consultation Paper 51-405 Consideration of an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers (the consultation paper), which solicits views on the appropriateness of introducing an “access equals delivery” model in the Canadian market. Under this model, delivery of a document would be effected by the issuer alerting investors that the document is publicly available on the System for Electronic Document Analysis and Retrieval (SEDAR) and the issuer’s website.
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BlackRock Takes Small Step Towards Climate Action - In Joining Climate Action 100+, World’s Largest Asset Manager Looks To Green Its Climate Impact
Date 09/01/2020
BlackRock Inc. (BLK), the world’s largest investor in both fossil fuels and deforestation-linked commodities, today announced it will join Climate Action 100+, a consortium of investors committed to driving a transition to clean energy.
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MiFID II: ESMA Issues Latest Double Volume Cap Data
Date 09/01/2020
The European Securities and Markets Authority (ESMA) has updated today its public register with the latest set of double volume cap (DVC) data under the Markets in Financial Instruments Directive (MiFID II).
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Broadridge Distribution Insights: European Monthly FundFlash
Date 09/01/2020
Click here to download this month’s FundFlash from Broadridge Financial Solutions, a two-minute read of European mutual fund sales trends in November 2019.
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