News Centre

Autorité Des Marchés Financiers: Recent Developments Regarding PlexCoin

Date 03/10/2019

Yesterday, the Securities and Exchange Commission (“SEC”) issued a release This link will open in a new window following a judgment by the U.S. District Court for the Eastern District of New York against Dominic Lacroix and Sabrina Paradis-Royer in the matter of PlexCoin.

FINRA Foundation Awards 2019 Ketchum Prize To Dr. Olivia S. Mitchell - University Of Pennsylvania Professor Recognized For Outstanding Service And Research To Advance Investor Protection And Financial Capability In The U.S.

Date 03/10/2019

The FINRA Investor Education Foundation (FINRA Foundation) today awarded Dr. Olivia S. Mitchell the 2019 Ketchum Prize—its highest honor—for her extraordinary research on pensions and retirement income and her efforts worldwide to advance financial literacy.

Canadian Securities Regulators Propose Changes To Auditor Oversight Rules

Date 03/10/2019

The Canadian Securities Administrators (CSA) today published for comment proposed amendments to National Instrument 52-108 Auditor Oversight (The Notice) intended to provide the Canadian Public Accountability Board (CPAB) with improved ability to perform audit inspections. Under the proposed changes, some reporting issuers and audit firms may be required to take steps to provide CPAB with enhanced access to audit working papers, particularly in foreign jurisdictions.

Remarks At The SEC Roundtable On Combating Elder Investor Fraud, SEC Commissioner Elad L. Roisman, Oct. 3, 2019

Date 03/10/2019

Good afternoon. I am very excited to join you today to discuss ways to combat elder investor financial exploitation and fraud. This is a topic that I know everyone in this room (and those watching via the web) care deeply about and so I am truly grateful that we are able to bring attention to it with a roundtable during World Investor Week.

Canadian Securities Regulators Implement Investor Protection Reforms, Strengthening The Client-Registrant Relationship Across Canada

Date 03/10/2019

The Canadian Securities Administrators (CSA) today published rule amendments to implement the Client Focused Reforms (the reforms) across Canada. These reforms are based on the fundamental concept that clients’ interests come first in their dealings with firms and individuals that are registered to give investment advice and trade in securities (registrants).  

Nodal Exchange Achieves Record 44% Traded Volume In Power Futures

Date 03/10/2019

Nodal Exchange continues to improve its strong position in the North American monthly power futures markets with a record 44% market share of traded volume in September 2019 and a record 42% market share of open interest as of September 30, 2019.

European Parliament - Brexit: Recent UK Proposals Do Not Offer The Safeguards The EU And Ireland Need

Date 03/10/2019

On Wednesday 2/10, Michel Barnier debriefed the Members of EP Brexit Steering group on UK government's latest proposals. Following an exchange of views, the Members agreed on the following statement:

"The BSG does not find these last minute proposals of the UK government of 2 October, in their current form, represent a basis for an agreement to which the European Parliament could give consent. The proposals do not address the real issues that need to be resolved, namely the all - island economy, the full respect of the Good Friday Agreement and the integrity of the Single Market."

Cboe Global Markets Reports September 2019 Trading Volume - Options ADV Up 13.9% Over September 2018 - U.S. Equities ADV Up 5.2% Over September 2018

Date 03/10/2019

Cboe Global Markets, Inc. (Cboe: CBOE), one of the world's largest exchange holding companies, today reported September monthly trading volume and provided selected revenue per contract (RPC) guidance for the third quarter of 2019.

Intercontinental Exchange Reports September Statistics

Date 03/10/2019

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, today reported September trading volume and related revenue statistics, which can be viewed on the company’s investor relations website at http://ir.theice.com/ir-resources/supplemental-information in the Monthly Statistics Tracking spreadsheet.

Opening Statement Of CFTC Chairman Heath P. Tarbert Before The Technology Advisory Committee Meeting

Date 03/10/2019

Good morning, and thank you all for being here.  I would especially like to thank Commissioner Quintenz and his staff for convening this meeting of the Technology Advisory Committee (TAC).  My thanks also to Meghan Tente [TEN-tay], the Designated Federal Officer for the TAC, for organizing the meeting.  And of course, thank you to the TAC members for traveling from near and far and taking the time to share your valuable perspectives.