News Centre

AFCA Open For Business: Time For Licensees To Update ASIC With Their AFCA Membership Details

Date 06/11/2018

ASIC has welcomed the achievement of a major milestone for Australian consumers and small business – the start of Australia’s new financial services dispute resolution scheme, the Australian Financial Complaints Authority (AFCA).

Cboe Global Markets Reports October 2018 Trading Volume

Date 05/11/2018

• Cboe VIX futures and SPX options set new monthly total volume record
• Record ADNV traded of €348 million for Cboe LIS in October, up 27.7% over previous record month
• Year-to-date ADV across options, futures, U.S. and European equities and global FX up over 2017

CFTC Voted On Open Meeting Agenda Items

Date 05/11/2018

At an open meeting today, the Commodity Futures Trading Commission (Commission) voted unanimously to approve a final rule to amend the De Minimis Exception to the Swap Dealer Definition. The Commission also voted unanimously on a request for comment regarding the Practice of “Post-Trade Name Give-Up” on Swap Execution Facilities.

Nasdaq CEO Adena Friedman To Present At J.P. Morgan Ultimate Services Investor Conference 2018

Date 05/11/2018

Anthony S. Kelly, Co-Chief Of Asset Management Unit, To Leave SEC After 18 Years Of Service

Date 05/11/2018

The Securities and Exchange Commission today announced that Anthony S. Kelly, Co-Chief of the Enforcement Division’s Asset Management Unit, will be leaving the agency this month after more than 18 years of service.

B3: Ibovespa Breaks New Record And Reaches 89.598 Points

Date 05/11/2018

B3’s main stock market performance index – Ibovespa – hit a record high today ending the day at 89,598 points, up 1,33%  from last trading session. The previous Ibovespa record of 88,419 points was recorded on November 1^th, 2018.

Office Of The Comptroller Of The Currency Bulletin: Cybersecurity: Cyber-Related Sanctions

Date 05/11/2018

Summary

The FFIEC has issued a statement to alert financial institutions of the recent actions taken by the Office of Foreign Assets Control under its Cyber-Related Sanctions Program and to the potential impact similar sanctions may have on financial institutions' operations.

Statement Of Concurrence Of CFTC Commissioner Rostin Behnam Regarding Swap Execution Facilities And Trade Execution Requirement

Date 05/11/2018

Introduction

Today, the Commission votes to issue proposed rules that would constitute an overhaul of the existing framework for swap execution facilities (SEFs).  I wish to commend staff for all of their very hard work in producing the document before us.  I appreciate the long hours that were spent by the staff presenting today, and by many other members of our dedicated staff working behind the scenes. 

Canadian Securities Regulators Encourage Investors To Look Out For ETF Facts

Date 05/11/2018

The Canadian Securities Administrators (CSA) today launched an awareness campaign encouraging investors to read the Exchange-Traded Funds (ETF) Facts they receive from their dealers when they invest in an ETF, an investment fund that trades like a stock but may hold a diversified portfolio of investments.

Opening Statement Of CFTC Commissioner Brian Quintenz Before The Open Commission Meeting On November 5, 2018 - Open Meeting On Final Rule: Amending The De Minimis Exception To The Swap Dealer Definition; Proposed Rule: Amendments To Regulations On Swap Execution Facilities And The Trade Execution Requirement; And Request For Comment Regarding The Practice Of “Post-Trade Name Give-Up” On Swap Execution Facilities

Date 05/11/2018

Mr. Chairman, thank you for calling this meeting.  It is a great pleasure to participate today with you and my fellow Commissioners in the first open meeting since 2013 with a full complement of Commissioners.  The matters before us today are of critical importance to the derivatives markets, impacting two fundamental Dodd-Frank reforms:  swap dealer registration and trading on swap execution facilities.  I appreciate all the hard work of staff to put these two rulemakings before us and support their ongoing efforts to continue improving and refining our regulatory framework.  I look forward to hearing their presentations as well as my fellow Commissioners’ questions and comments.