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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.
Review Of Autorité Des Marchés Financiers’s Investigation Regarding SNC-Lavalin - AMF Vindicated And Lauded For The Quality Of Its Work

Date 29/07/2019

The Autorité des marchés financiers (AMF) welcomes with much satisfaction the findings of the review conducted by Mario Bilodeau, the independent expert who examined how the AMF handled the SNC-Lavalin investigation called Projet Faucon, initiated in 2011-2012.
OCC Adds Leaders From Morgan Stanley And Bank Of America Merrill Lynch To Board Of Directors

Date 29/07/2019

OCC, the world's largest equity derivatives clearing organization, announced today that Susan O'Flynn, Managing Director and Global Head of CCP Strategy and Resource Optimization with Morgan Stanley, and Stuart Bourne, Managing Director, Head of Americas Asset Management Services with Bank of America Merrill Lynch, have joined OCC's Board of Directors as Member Directors.
Moscow Exchange: Risk Parameters Change On Securities Market

Date 29/07/2019

CCP NCC is changing PcH_max parameter value that defines price up limit for MGVM shares on Securities market starting from July 30, 2019:

Ticker Current value PcH_max New value PcH_max

MGVM 40% 10%
CFTC Orders Principal Of Binary Options Trading Firm To Pay $200,000 For Illegal Off-Exchange Trading And Registration Violations

Date 29/07/2019

The U.S. Commodity Futures Trading Commission today issued an order filing and settling charges against Curtis Dalton of Middleton, Massachusetts, requiring him to pay $200,000 for offering illegal off-exchange retail commodity transactions to U.S. and overseas customers while failing to be registered by the CFTC as required.