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Carbon Fund Lists On NZX In New Zealand First

Date 07/11/2018

In a New Zealand first, NZX welcomes the inaugural Carbon Fund (CO2) to be listed on the Main Board today by Salt Funds Management.
CFTC Swaps Report Update

Date 07/11/2018

CFTC's Weekly Swaps Report has been updated, and is now available.
Remarks To The SEC Investor Advisory Committee, SEC Chairman Jay Clayton, Nov. 7, 2018

Date 07/11/2018

Thank you, Anne (Sheehan), and good afternoon everyone.

I would like to thank the Committee for convening this meeting to discuss the Commission’s work to enhance retail investor protection and retail investor decision making by bringing the legal requirements and mandated disclosures of financial professionals in line with retail investor expectations – specifically, our proposed Regulation Best Interest and our proposed Customer Relationship Summary or CRS.

CFTC Chairman Giancarlo To Participate At The Global Financial Leadership Conference

Date 07/11/2018

WHAT:	Chairman J. Christopher Giancarlo will be a featured speak at the Global Financial Leadership Conference
WHEN:	Monday, November 12, 2018 4:05 p.m. (ET)
WHERE:	The Ritz Carlton, Naples 280 Vanderbilt Beach Naples, Florida 3410

TMX Group Equity Financing Statistics – October 2018

Date 07/11/2018

TMX Group today announced its financing activity on Toronto Stock Exchange (TSX) and TSX Venture Exchange (TSXV) for October 2018.

SEC Charges ITG With Misleading Dark Pool Subscribers

Date 07/11/2018

The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities Inc. have agreed to pay $12 million to settle charges arising from ITG’s misstatements and omissions about the operation of the firm’s dark pool, POSIT, and ITG’s failure to establish adequate safeguards and procedures to protect POSIT subscribers’ confidential trading information.
Keynote Address Of CFTC Chairman J. Christopher Giancarlo At Fintech Week, Georgetown University Law School - “Quantitative Regulation: Effective Market Regulation In A Digital Era”

Date 07/11/2018

Thank you. Let me begin by thanking Georgetown Law Professor and Director of the Institute of International Economic Law, Chris Brummer. In only a few short years under his leadership, the Georgetown Law FinTech Conference has become one of the true forums for thought leadership in the overcrowded industry of FinTech conferences.
Citibank To Pay More Than $38 Million For Improper Handling Of ADRs

Date 07/11/2018

The Securities and Exchange Commission today announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs).
UK Financial Conduct Authority Statement On The Launch Of The Cost Transparency Initiative (CTI)

Date 07/11/2018

The FCA is pleased to note today’s announcement which launches a new body to deliver a template for the disclosure of costs and charges to institutional investors. This will lead to improvements in the ability of institutional investors to access and assess critical information on costs.
ESMA Appoints New Chairs To Four Standing Committees

Date 07/11/2018

The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed the following individuals to serve as chairs of its standing committees:
- Carmine Di Noia, Commissioner of the Commissione Nazionale per le Società e la Borsa (CONSOB), Italy, will chair the Committee for Economic and Markets Analysis;
- Christopher Buttigieg, Director of the Securities and Markets Supervision Unit at the Malta Financial Services Authority (MFSA), will chair the DataStanding Committee;
- Martin Moloney, Head of Markets Policy Division at the Central Bank of Ireland (CBI) will chair the Investment Management Standing Committee; and
- Merel van Vroonhoven, Chair of the Autoriteit Financiële Markten (AFM), Netherlands will chair the Investor Protection and Intermediaries Standing Committee.