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AIX Has Approved Listed Funds Rules

Date 30/07/2019

Astana International Exchange (AIX) is pleased to announce that Listed Funds Rules (the “Rules”) aimed at enabling the Listed Funds market have been approved by the Board of Directors and received a final approval from Astana Financial Services Authority on July 23, 2019.
Itiviti Appoints Gavin Welsh As Head Of Customer Success, Strengthening Customer Focus

Date 30/07/2019

Itiviti, a leading technology and service provider to financial institutions worldwide, today announced the appointment of Gavin Welsh as EVP, Head of Customer Success, Itiviti Group. Gavin brings more than 25 years’ experience of Fintech customer support and relations to Itiviti, most recently as Global Head of Client Coverage at TradingScreen. Reporting to CEO Rob Mackay, Gavin will define and drive Itiviti’s customer strategy.
Shanghai Stock Exchange Reports On Actions against Listed Companies’ Violations In Information Disclosure In H1 2019

Date 30/07/2019

In the first half of 2019, the Shanghai Stock Exchange (SSE) continued to earnestly perform the duty of frontline regulation in accordance with the work arrangements made by the China Securities Regulatory Commission (CSRC), and make effective efforts in dealing with violations of the listed companies in information disclosure. With the implementation of the classified regulation as the general guideline, the SSE adhered to the principle of “achieving effectiveness by streamlining and refining regulation”, imposed strict regulation on the problematic and risky companies plagued with disorders, focused on investigating and dealing with the violations that harmed the interests of listed companies and investors and stirred up the market significantly, and urged the listed companies to stick to the "four awes" (stand in awe of the market, rule of law, professionalism and risks) and defend the "four bottom lines" (guard against disclosing fake information, conducting insider trading, manipulating stock prices and harming interests of listed companies). The above-mentioned tasks achieved certain results in increasing the listed companies’ costs of violations, maintaining the order of the securities market and protecting legitimate rights and interests of small and medium-sized investors.
Japan Exchange Group Consolidated Financial Results For The Fiscal Year Ended June 30, 2019

Date 30/07/2019

During the consolidated cumulative first quarter (from April 1, 2019 to June 30, 2019), JPX Group recorded operating revenue of ¥29,069 million (1.7% decrease from the same period of the previous fiscal year (i.e., year on year)), and operating expenses were ¥13,643 million (increased 5.6% year on year). As a result, JPX Group recorded operating income of ¥16,246 million (decreased 6.7% year on year) and income before income tax of ¥16,402 million (decreased 6.9% year on year).
ASIC Implements Pause On Admission Of Managed Funds With Internal Market Makers

Date 30/07/2019

ASIC has requested that exchange market operators do not admit any managed funds that do not disclose their portfolio holdings daily and have internal market makers while it undertakes a review during the remainder of this calendar year.

Nadex Temporarily Refrains From Listing 5-Minute Contracts On Trade Date July 29, 2019

Date 29/07/2019

On trade date July 29, 2019, North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”) temporarily refrained from listing its Intraday 5-Minute Currency Binary contracts beginning with the 6:10pm ET expiration time. All 5-Minute Currency Binary contracts were relisted an hour later, with the first listing to expire at 7:10pm ET. This action was taken pursuant to Nadex Rules 12.27(iv)(5), 12.29(iv)(5), 12.31(iv)(5), and 12.33(iv)(5).
FINRA Fines Citigroup Global Markets Inc. $1.25 Million For Failing To Appropriately Fingerprint Or Screen Employees Over Seven-Year Period

Date 29/07/2019

FINRA today announced it has fined Citigroup Global Markets Inc. (CGMI) $1.25 million for failing to conduct timely or adequate background checks on approximately 10,400 non-registered associated persons spanning a seven-year period.
Remarks To The SEC Fixed Income Market Structure Advisory Committe, SEC Chairman Jay Clayton, July 29, 2019

Date 29/07/2019

Thank you, Michael [Heaney]. Good morning everyone. Thank you all for being here. I want to extend a warm welcome to our newest Commissioner, Allison Lee — Welcome back to the Commission and to your first FIMSAC meeting. We have a full agenda today with four panels, including recommendations from the Corporate Bond Transparency Subcommittee and the Municipal Securities Transparency Subcommittee. We will also hear updates from the Technology and Electronic Trading Subcommittee and the ETFs and Bond Funds Subcommittee. I will endeavor to be efficient, as I know we are all eager to engage on these substantive matters.
ICYMI: CFTC Chairman Tarbert Lays Out Priorities In Fox Business Op-Ed - Excerpts From FoxBusiness.com

Date 29/07/2019

“… Instead of taking the ‘ready, fire, aim’ approach all too common in Washington, I am building the CFTC’s agenda with an open mind. In addition to combating fraud, abuse, and manipulation, I am thinking carefully about two sets of issues: resolving unfinished business and preparing for the unwritten future …
Ontario Securities Commission’s Investor Advisory Panel Releases Survey Findings On How Much Advice Investors Receive

Date 29/07/2019

The Ontario Securities Commission’s Investor Advisory Panel (IAP) today released A Measure of Advice: How much of it do investors with small and medium-sized portfolios receive? This survey of 3,000 Canadians aims to shed light on the nature, scope and extent of investment advice that small and mass-market investors currently receive from their investment advisors.