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New Zealand's Financial Markets Authority Comments On Ross Asset Management Investor Proceedings

Date 12/07/2019

The Financial Markets Authority (FMA) said today’s filing of proceedings on behalf of eligible investors in Ross Asset Management marked the end of a long battle to enable the FMA to engage with investors so they could determine whether to bring a claim against ANZ.
Response To Two Letters On The Growing Use Of Technology And Its Impact On Jobs, "Strong Support To Help Financial Sector Workers Enhance Skills And Use New Technologies" By Monetary Authority Of Singapore And Workforce Singapore - The Straits Times, 6 And 9 July 2019

Date 12/07/2019

Dear Editor,

We refer to the letters from Mr Sarvjeet Sharma (“Banking revolution may be bad news for employees”, 6 July) and Dr Patrick Liew Siow Gian (“Add value to roles that cannot be managed by technology”, 9 July) commenting on the growing use of technology and its impact on jobs.
BOX Exchange: Complex Qualified Contingent Cross Orders – POSTPONED

Date 11/07/2019

BOX Exchange LLC (“BOX” or “the Exchange”) recently distributed IC-2019-16 which detailed the upcoming acceptance of Complex Qualified Contingent Cross Orders and modification to the execution of Complex Customer Cross Orders.
The CFTC And The Japan Financial Services Agency Issued A Joint Statement Regarding The Comparability Of Certain Derivatives Trading Venues In The U.S. And Japan

Date 11/07/2019

The Commodity Futures Trading Commission (CFTC or Commission) today announced the issuance of an order exempting certain derivatives trading facilities (ETPs) regulated by the Japan Financial Services Agency (JFSA) from the requirement to register with the CFTC as swap execution facilities (SEFs).
Perspectives On The Economy From Scranton, Federal Reserve Governor Lael Brainard At The Community Bankers Roundtable, Scranton, Pennsylvania

Date 11/07/2019

Thank you to my colleague Pat Harker for the invitation to join him here this evening. In my time at the Federal Reserve, I have found that hearing directly from people around the country about how their communities are experiencing the economy is vital to carrying out my responsibilities. It helps me to understand what is working well and what the challenges are, and it provides ideas on how to improve economic opportunities. Today I look forward to hearing your perspective on the economy and the banking business in and around Scranton.

tZERO CEO Saum Noursalehi Issues Statement On Company Milestones & Planned Roadmap For 2019

Date 11/07/2019

I am quite pleased with the progress our team is making. I have been communicating with you, our token holders, through the Overstock.com, Inc. (NASDAQ:OSTK) quarterly earnings calls, SEC disclosure, and periodic event-driven press releases. I realize I can do more to keep you apprised of the status and prospects of the business. This letter is a first step in that direction. We have also hired a Head of Investor Relations to help.
CFTC Voted On Open Meeting Agenda Items

Date 11/07/2019

At an open meeting today, the Commodity Futures Trading Commission (Commission) voted unanimously to approve a proposed rule on registration with alternative compliance for non-U.S. derivatives clearing organizations. With a 3 to 2 vote, the Commission also approved a supplemental proposal on exemption from derivatives clearing organization registration. The proposed rule on customer margin rules relating to security futures was unanimously approved in seriatim on July 9.
American Financial Exchange (AFX) Announces Citizens Trust Bank As The First African American Minority-Owned Bank To Join Exchange

Date 11/07/2019

American Financial Exchange (AFX), an electronic exchange for direct lending and borrowing for American financial institutions, announced today that Citizens Trust Bank located in Atlanta, Georgia, has joined the Exchange. Citizens Trust Bank is the first African American minority-owned bank to become a member of the AFX.
CalPERS Reports Preliminary 6.7 Percent Investment Return For Fiscal Year 2018‐19

Date 11/07/2019

CalPERS today reported a preliminary 6.7 percent net return on investments for the 12‐month period that ended June 30, 2019. CalPERS assets at the end of the fiscal year stood at more than $370 billion.
FINRA Releases New Guidance On Credit For Extraordinary Cooperation

Date 11/07/2019

FINRA today announced that it has released new guidance regarding credit for extraordinary cooperation in investigations. Regulatory Notice 19-23 supplements prior FINRA guidance, providing additional information about “extraordinary cooperation” respondents can provide to substantially assist FINRA in meeting its goals of investor protection and market integrity. To recognize and incentivize firms and individuals to take proactive and voluntary steps beyond those required under FINRA rules, FINRA Enforcement credits extraordinary cooperation so that the outcome of the matter is materially different than it would have been absent the respondent’s extraordinary conduct. The Notice also restates and supplements prior guidance.