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Broadridge To Acquire TD Ameritrade Retirement Plan Custody And Trust Assets - Acquisition Expands Broadridge’s Industry-Leading Retirement Plan Platform For Plan Sponsors, Advisors, Record Keepers, And Third-Party Administrators

Date 18/04/2019

Broadridge Financial Solutions, Inc. (NYSE:BR), a global Fintech leader and part of the S&P 500® Index, today announced it has entered into a purchase agreement to acquire the retirement plan custody and trust assets from TD Ameritrade Trust Company, a subsidiary of TD Ameritrade Holding Company (Nasdaq: AMTD). The acquisition will expand Broadridge’s suite of solutions for the growing qualified and non-qualified retirement plan services market and the support it provides for third-party administrators, financial advisors, record-keepers, banks, and brokers.

Hong Kong’s Securities And Futures Commission Reprimands And Fines Nine Masts Capital Limited $1.2 Million Over Naked Short Selling

Date 18/04/2019

The Securities and Futures Commission (SFC) has reprimanded and fined Nine Masts Capital Limited (Nine Masts) $1.2 million for failures relating to the short selling of Yuzhou Properties Company Limited (Yuzhou Properties) shares in May 2015.

SIX Exchange Regulation AG: The Disclosure Office Publishes Its 2018 Annual Report

Date 18/04/2019

The Disclosure Office Publishes Its 2018 Annual Report

• The Disclosure Office has published the new Notice I/2018 on the provisions regarding the reporting obligation pursuant to Art. 120 para. 3 of the Financial Market Infrastructure Act (FMIA) during the reporting year 2018. In addition, slight amendments were made to the form and content of existing Notices during the reporting year.
• During the reporting year, formal amendments were made to the disclosure notification forms provided by the Disclosure Office.
• In the context of dealing with various recommendations, the Disclosure Office has assessed various issues related to capital market transactions, whereby the focus was especially on equity derivatives and sub-underwriting agreements.

VTB Capital Investment Management Joins NSD’s Mutual Fund Distribution Platform

Date 18/04/2019

VTB Capital Investment Management began using the centralized system for record keeping of mutual fund units (Mutual Fund Distribution Platform) developed by National Settlement Depository (NSD).

Japan's Financial Services Agency - Stewardship Code: 246 Institutional Investors Have Signed Up To The Principles For Responsible Institutional Investors As Of April 12, 2019

Date 18/04/2019

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) on February 27, 2014.

Also, the Council of Experts on the Stewardship Code (Chairman: Professor Hiroyuki Kansaku) revised the Code on May 29, 2017(Finalization of the Japan’s Stewardship Code (Revised version)(May 29, 2017)).

SGX Bull Charge Kicks Off 2019 Fundraising With Sasseur Asset Management As Premium Partner

Date 18/04/2019

• Sasseur Asset Management marks first year of Sasseur REIT’s listing on SGX with donation of $300,000 to Bull Charge
• Single largest donation to SGX’s flagship charity initiative in recent years

Montréal Exchange: Interest Rate Derivative Trading Ceases At 1:30 P.M. Today,- Exchange's Markets Closed On April 19, 2019.

Date 18/04/2019

Interest rate derivative trading will cease at 1:30 p.m. today, April 18, 2019. Furthermore, the Exchange's markets will be closed on April 19, 2019.

Ontario Securities Commission Announces New Commissioner Appointment

Date 17/04/2019

Ontario Securities Commission (OSC) Chair and CEO Maureen Jensen is pleased to announce the appointment of Craig Hayman to the Commission, to serve a two-year term.

CFTC Swaps Report Update

Date 17/04/2019

CFTC's Weekly Swaps Report has been updated, and is now available.

DTCC Outlines Path To Reduce Trade Failures, Increase Security And Efficiency Of Markets - Automating Delivery Of Standing Settlement Instructions (SSIs) Is The Clear Direction As ALERT’s GC Direct Points To The Destination, Now With Over 1 Million SSIs Managed By Custodians And Prime Broker

Date 17/04/2019

The Depository Trust & Clearing Corporation (DTCC) announced the release of a new paper addressing issues of trade failures in the institutional post-trade marketplace where greater technology adoption could help with growing problems in an era of cost pressures, heightened regulatory requirements, and increasing cyber security focus.