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The Fairness Imperative, A Speech By James Shipton, Conduct Regulator’s Address, ASIC Chair At The AFR Banking And Wealth Summit, 27 March 2019.

Date 26/03/2019

1. Introduction

Let me start by endorsing Wayne’s remarks, especially the fundamental importance of a sound financial system and the banking system’s financial, operational, organisational and cultural resilience. I also want to endorse ASIC Deputy Chair Karen Chester’s comments from yesterday about the need for fairness towards superannuation members.

Statement Of CFTC Commissioner Brian Quintenz On The Amendment To Comparability Determination For Japan: Margin Requirements For Uncleared Swaps For Swap Dealers And Major Swap Participants

Date 26/03/2019

I support the expansion of the Commission’s 2016 Margin Comparability Determination for Japan (Determination).  I am pleased that the amendments to the Determination adopted by the Commission today apply an outcomes-based approach to substituted compliance and recognize the discretion of Japanese financial regulators to implement reforms consistent with the G-20 framework in a manner suited to their local markets.  Moreover, the expanded Determination is appropriately deferential to our counterparts in Japan, who have already found CFTC margin regulations to be comparable to their own.

SEC Filings Relating To Nasdaq Senior Notes Offering

Date 26/03/2019

On March 25 and 26, 2019, Nasdaq filed the following documents with the U.S. Securities & Exchange Commission (the “SEC”) relating to a public offering of €600 million aggregate principal amount of 1.75% senior notes due 2029 pursuant to an effective shelf registration statement:

1. a preliminary prospectus supplement;
2. an issuer free writing prospectus containing the final term sheet for the notes; and
3. a Form 8-K attaching the underwriting agreement and press releases announcing the launch and pricing of the offering.

Statement Of CFTC Commissioner Dan M. Berkovitz On Amendment To Comparability Determination For Japan: Margin Requirements For Uncleared Swaps

Date 26/03/2019

I support today’s Amendment to Comparability Determination for Japan: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants (“Amended Japan Determination”).

Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date March 15, 2019

Date 26/03/2019

At the end of the settlement date of March 15, 2019, short interest in 2,359 Nasdaq Global Market^SM securities totaled 7,804,885,951 shares compared with 7,689,702,073 shares in 2,355 Global Market issues reported for the prior settlement date of February 28, 2019. The mid-March short interest represents 3.71 compared with 4.12 days for the prior reporting period.

Statement Of CFTC Chairman J. Christopher Giancarlo On Amendment To Japan Comparability Determination: Margin Requirements For Uncleared Swaps For Swap Dealers And Major Swap Participants

Date 26/03/2019

Today the Commission is amending its previous comparability determination for Japan with respect to margin requirements for uncleared swaps published on September 15, 2016.  The amendment makes a positive determination of comparability with respect to the scope of entities subject to margin requirements and the treatment of inter-affiliate transactions.  All other findings and determinations contained in the original comparability determination remain unchanged and in full force and effect.

Cboe Global Markets Announces Date Of First-Quarter 2019 Earnings Release And Conference Call

Date 26/03/2019

Cboe Global Markets, Inc. (Cboe: CBOE), one of the world's largest exchange holding companies, today said it will announce its financial results for the first quarter of 2019 before the market opens on Friday, May 3, 2019. A conference call with remarks by the company's senior management will begin at 7:30 a.m. Central Time (CT), 8:30 a.m. Eastern Time (ET).

The IMF Updates The Effective Exchange Rates Indices

Date 26/03/2019

On February 26, 2019, the International Monetary Fund (IMF) published revised indices of effective exchange rates (EER). The new nominal and real effective exchange rate indices—released in the International Financial Statistics—reflect an update of the underlying trade-based weights and other methodological refinements. The revision benefited from consultations with selected stakeholders, including the Bank for International Settlements and the European Central Bank.

SEC Names Danae M. Serrano As Ethics Counsel

Date 26/03/2019

The Securities and Exchange Commission today announced that Danae M. Serrano has been named the agency’s Ethics Counsel. Ms. Serrano has served as Acting Ethics Counsel since December 2018. 

Oslo Børs VPS Holding ASA: Mandatory Notification Of Trade - Audun Bø

Date 26/03/2019

Audun Bø (CEO VPS) has 26 March 2019 sold 258 shares in Oslo Børs VPS Holding ASA at a price of NOK 158 per share. After this transaction, he holds 0 shares in the company.