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Japan's Financial Services Agency - Stewardship Code : 256 Institutional Investors Have Signed Up To The Principles For Responsible Institutional Investors As Of August 1, 2019

Date 19/08/2019

The Council of Experts Concerning the Japanese Version of the Stewardship Code (Chairman: Professor Hiroyuki Kansaku, University of Tokyo Graduate Schools for Law and Politics) published the Principles for Institutional Investors (Japan’s Stewardship Code, hereinafter referred to as "the Code") on February 26, 2014.
DFM Achieves 96% Compliance In Listed Companies’ Disclosure Of Q2-2019 Results

Date 19/08/2019

Dubai Financial Market (DFM) today announced that its listed companies have recorded a 96% compliance regarding the disclosure of Q2-2019 results within the deadline of 45 days from the end of the period.
The Derivatives Service Bureau Reports Results From Second 2019 Industry Consultation - Consultation Reveals Significant Appetite For Further Data And Cybersecurity Analysis

Date 19/08/2019

The Derivatives Service Bureau (DSB), founded by the Association of National Numbering Agencies (ANNA) to facilitate the allocation and maintenance of International Securities Identification Numbers (ISINs), Classification of Financial Instrument codes (CFIs) and Financial Instrument Short Names (FISNs), for OTC derivatives, has today announced the results of their second 2019 industry consultation, revealing a significant appetite for further analysis on functionality that may be helpful in delivering improved data quality, standardization and automation as well as further strengthening the DSB’s cybersecurity processes and governance.
Fnality Adds Key Personnel To Management Team - Strategic Hires Strengthen Legal, Regulatory And Technology Capabilities

Date 19/08/2019

Fnality International (Fnality), delivering the means of payments on-chain for tomorrow’s financial markets, is pleased to announce key additions to the senior management and advisory team. Gary Chu joins as General Counsel and Adam Clarke as Chief Technology Officer (CTO), with Daniel Heller joining as Head of Regulatory Affairs.
SIX Exchange Regulation AG Publishes Decision With Grounds Regarding Delisting Of Edmond de Rothschild (Suisse) S.A., Geneva

Date 19/08/2019

Edmond de Rothschild (Suisse) S.A. has announced, that all of its listed bearer shares (Swiss Security Number 134‘749 / ISIN CH0001347498) with a nominal value of CHF 500 will be delisted from SIX Swiss Exchange. SIX Exchange Regulation AG has granted the companies’ application on 16 August 2019. The decision with grounds regarding the delisting of Edmond de Rothschild (Suisse) S.A. is available on the Website of SIX Exchange Regulation AG: https://www.six-exchange- regulation.com/en/home/publications/notices.html.

New Zealand Financial Markets Authority: Steven Robertson Convicted On 38 charges Relating To PTT Limited And Associated Entities

Date 19/08/2019

The Financial Markets Authority (FMA) has today welcomed the Auckland High Court convicting Steven Robertson of 38 charges relating to PTT Limited and associated entities.
ASIC Enforcement Update January To June 2019

Date 18/08/2019

ASIC has today released its enforcement update report for the period 1 January 2019 to 30 June 2019.

A copy of the report - outlining key actions taken over the past six months to enforce the law and support our enforcement objectives - can be found here.
CFTC Commitments Of Traders Reports Update

Date 16/08/2019

The current reports for the week of August 13, 2019 are now available.
New York State Department Of Financial Services Superintendent Linda A. Lacewell Announces DFS Grants Charter To Bakkt

Date 16/08/2019

Superintendent of Financial Services Linda A. Lacewell announced today that the New York State Department of Financial Services (DFS) has granted a charter under New York Banking Law to Bakkt Trust Company LLC to operate as a limited liability trust company. This is the first virtual currency trust company application approved under Superintendent Lacewell.
Cantor Fitzgerald And BMO Capital Charged For Improper Handling Of ADRs

Date 16/08/2019

The Securities and Exchange Commission today announced that broker Cantor Fitzgerald & Co. will pay more than $647,000 and broker BMO Capital Markets Corporation will pay over $3.9 million to settle charges of improper handling of "pre-released" American Depositary Receipts (ADRs). With today's actions, the SEC has charged 13 financial institutions in its ongoing investigation into abusive ADR pre-release practices, which, thus far, has included monetary settlements exceeding $427 million.