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Shanghai Stock Exchange, Shanghai Financial Court Hold Symposium On Implementing Opinions On Judicial Guarantee For Launching The SSE Star Market And Piloting The Registration-Based IPO System

Date 18/07/2019

On July 10, Shanghai Stock Exchange (SSE) and the Shanghai Financial Court (SFC) jointly held a symposium on implementing the opinions on the judicial guarantees for launching the SSE Star market and piloting the registration-based IPO system. Attending the meeting were the relevant officials of the Shanghai High People's Court (SHPC), the SFC and the SSE, and also present at the symposium were representatives of market participants such as issuers on the SSE Star Market, securities companies, law firms and accounting firms.
CFTC Swaps Report Update

Date 17/07/2019

CFTC's Weekly Swaps Report has been updated, and is now available.
FINRA Announces Final Results Of Mutual Fund Waiver Initiative - Total Of 56 Settlements Reached With Member Firms Resulting In $89 Million In Restitution To Eligible Charitable And Retirement Accounts

Date 17/07/2019

FINRA announced that it has reached settlements with 56 member firms and obtained a total of $89 million in restitution for nearly 110,000 charitable and retirement accounts as a result of its mutual fund fee waiver initiative. All of the firms, including the two firms who agreed to settlements1 today, failed to waive mutual fund sales charges for the eligible accounts and failed to reasonably supervise the sale of mutual funds offering sales charge waivers.
SIFMA Testimony On New Jersey Fiduciary Rule Proposal

Date 17/07/2019

In testimony delivered today regarding New Jersey’s proposed rule to create a state fiduciary standard, SIFMA expressed strong concern and urged the state to defer to the new nationwide best interest standard finalized by the Securities and Exchange Commission (SEC) last month – Regulation Best Interest (Reg BI) – which addresses the investor protection concerns and goals stated by New Jersey policymakers.
B3 Recognized By Institutional Investor Magazine - B3 Ranks Second In The Overall Ranking In The Financials/Nonbanks Sector

Date 17/07/2019

B3 has joined the special ranking of the British magazine Institutional Investor. Winners of the 2019 Latin America Executive Team ranking were announced on July 10 based on votes from 1,000 portfolio managers, analysts and sell-side analysts from leading global banks.

Uniphar Lists On Euronext Dublin - Market Capitalisation: €309.6 Million

Date 17/07/2019

Euronext Dublin today welcomes Uniphar, a diversified healthcare services group to Euronext Growth.
US Federal Bank Regulatory Agencies Announce Coordination Of Reviews For Certain Foreign Funds Under Volcker Rule

Date 17/07/2019

The Federal Reserve Board, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency today announced that they will not take action related to restrictions under the Volcker Rule for certain foreign funds for an additional two years. The three federal banking regulatory agencies have consulted with the staffs of the Securities and Exchange Commission and the Commodity Futures Trading Commission regarding this matter.
ESMA Reports On NCAs’ Use Of Sanctions Under MiFID II

Date 17/07/2019

The European Securities and Markets Authority (ESMA), the EU’s securities markets’ regulator, has published today its first report concerning sanctions and measures imposed under MiFID II by National Competent Authorities (NCAs).
Tehran Stock Exchange Weekly Market Review, 13 July 2019 To 17 July 2019

Date 17/07/2019

Click here to download Tehran Stock Exchange's weekly market review.
ACER Publishes An Updated Version Of The 4th Edition Of Its Guidance On The Application Of REMIT As Well As A Public Consultation On The Definition Of Inside Information

Date 17/07/2019

ACER publishes today an updated version of the fourth edition of the Guidance on the application of Regulation (EU) No 1227/2011 of the European Parliament and of the Council of 25 October 2011 on wholesale energy market integrity and transparency (REMIT).