News Centre

Shenzhen Stock Exchange Improves The Risk Management System, Fighting An Uphill Battle To Prevent Snd Eliminate Major Risks

Date 23/01/2018

SZSE attaches much importance to risk management and has been actively exploring a perfect mode of risk management. By now, SZSE has formed an overall risk management system based on evaluation and prevention beforehand, control and handling of risks at their occurrence, and summary and improvement afterward at different stages of risk management. Being the first within the securities regulatory system to set up a Risk Management Committee governed by its Administration Committee, SZSE has optimized its organization structure for risk management.

Nasdaq Elects Joseph Mecane To The Board Of Directors Of Its U.S. Exchanges

Date 22/01/2018

Nasdaq, Inc. (Nasdaq:NDAQ), today announced the addition of Joseph Mecane to the board of directors of the following U.S. exchanges operated by the company: The Nasdaq Stock Market, LLC; Nasdaq PHLX, LLC; Nasdaq BX, Inc.; Nasdaq ISE, LLC; Nasdaq MRX, LLC; and Nasdaq GEMX, LLC. Mr. Mecane was elected on January 17, 2018.

ETFGI Reports That Assets Invested In ETFs/ETPs Listed In Japan Increased By 59% To Reach A New High Of 275 Billion US Dollars At The End Of December 2017

Date 22/01/2018

ETFGI, a leading independent research and consultancy firm on trends in the global ETF/ETP ecosystem, reported today that assets invested in ETFs and ETPs listed in Japan increased by 59.2% during 2017 to reach a new high of US$275.84 Bn at the end of December. (All dollar values in USD unless otherwise noted.)

Opening Remarks At The Securities Regulation Institute, SEC Chairman Jay Clayton

Date 22/01/2018

Thank you for that warm welcome.[1]  I am delighted to join you today by videoconference. I know Meredith [Cross] has prepared questions. I look forward to answering those, as well as questions from this distinguished audience. When I was teaching at UPenn law school, the best classes were the ones where students asked difficult, but informed, questions. With Meredith and this audience, I know that I am in for a treat.

B3: Ibovespa Breaks New Record And Reaches 81.675 Points

Date 22/01/2018

B3’s main stock market performance index – Ibovespa – hit a record high today ending the day at 81.675 points, up 0.56% from last trading session. The previous Ibovespa record of 81.219 points was recorded on January 19, 2018

New York State Department Of Financial Services Superintendent Vullo Issues Cybersecurity Filing Deadline Reminder - February 15, 2018 Compliance Certification Filing Deadline Is Approaching For Covered Entities Under New York's Landmark Cybersecurity Regulation - Covered Entities Must Submit A Statement Of Compliance To The Superintendent Of Financial Services For Prior Calendar Year - DFS Has Also Added Cybersecurity Questions To “First Day Letters” Issued In Connection With Examinations Of Institutions

Date 22/01/2018

Financial Services Superintendent Maria T. Vullo today reminded all regulated entities and licensed persons covered by the Department of Financial Services’s (DFS) landmark cybersecurity regulation that the first certification of compliance requiring a statement to the Superintendent covering the prior calendar year must be filed electronically via the DFS cybersecurity portal on or prior to February 15, 2018.  Superintendent Vullo also took the opportunity to announce that DFS will now be incorporating cybersecurity in all examinations, including adding questions related to cybersecurity to “first day letters,” which are notices the Department issues to commence its examinations of financial services companies, including examinations of banks and insurance companies for safety and soundness and market conduct.

DTCC Outlines Vision For Modernizing U.S. Equity Market Structure - Looking Beyond T+2, DTCC Examines Ways To Optimize And Accelerate Securities Settlement To Free Up Liquidity, Reduce Risk, And Improve Straight-Through Processing

Date 22/01/2018

The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced its vision for the evolution of the U.S. equities market structure, unveiling a series of proposals to provide seamless access to new shortened settlement processing options, both pre-and post-trade.

Ontario Securities Commission Announces New Securities Proceedings Advisory Committee Members

Date 22/01/2018

The Ontario Securities Commission (OSC) is pleased to announce the updated membership of the Securities Proceedings Advisory Committee (SPAC).

FINRA Launches Small Firm Helpline To Provide Enhanced Support - New FINRA360 Initiative Provides Small Firms Additional Assistance

Date 22/01/2018

The Financial Industry Regulatory Authority (FINRA) today launched a Small Firm Helpline, the latest in a series of actions to enhance support for small firms that have been taken as part of the FINRA360 organizational improvement program.

FTSE Russell: Advisor Use Of Smart Beta Growing, But With Geographic Differences And Education Gaps

Date 22/01/2018

• 68-79% of US-, UK- and Canada-based financial advisors “aware,” yet only 35% on average are “very familiar” with smart beta investment strategies

• Outlook for future use of smart beta is strong in all three countries, yet advisors still skeptical and looking for more information

• Smart beta implementation still evolving; financial advisors divided as to whether it complements active or passive investment strategies