News Centre

Keynote Address At The PLI’s Seventeenth Annual Institute On Securities Regulation In Europe, William Hinman, SEC Director, Division Of Corporation Finance

Date 08/02/2018

Thank you, Brad [Gans] and thanks to the Practising Law Institute and Allen & Overy for hosting today’s event. I am pleased to be here and provide you with a few thoughts on the state of the Division of Corporation Finance.

Remarks Of CFTC Commissioner Rostin Behnam Before The FIA/SIFMA Asset Management Group, Asset Management Derivatives Forum 2018, Dana Point, California

Date 08/02/2018

Introduction

Good afternoon. And thank you for your warm welcome, and most importantly for inviting me to share your warmer weather. When Laura Martin invited me to speak here today, she kindly offered that I pick the structure. Given my fondness for illuminating and sometimes irreverent one-on-ones with FIA President and former CFTC Commissioner (and Acting Chair) Walt Lukken, I didn’t want to pass on that opportunity. But, before that, I thought I would begin with some brief remarks to give you a sense of my current approach as a relatively new Commissioner.

Date Change: Report Launch - The Quantum Countdown: Quantum Computing And The Future Of Distributed Ledger Encryption

Date 08/02/2018

IMPORTANT NOTICE! The date of this event has changed. Please see details below.

The Distributed Futures research programme is launching a report entitled “The Quantum Countdown: Quantum Computing And The Future Of Distributed Ledger Encryption”, another in a series of exciting projects in the programme. We are delighted to invite you to the launch event on Tuesday, 20 February, from 08:45 - 10.345, where we will present a summary of the problems faced and potential solutions.

Hanweck Named Best Fintech Solution At Fund Technology/Wall Street Letter Awards 2018

Date 08/02/2018

Hanweck announced that it was recognized as “Best Fintech Solution” at the Fund Technology/Wall Street Letter Awards 2018. This is the second consecutive year that Hanweck has been honored at this event, having been named “Best Risk Management Solution – Innovation” in last year’s competition.

Canadian Securities Regulators Sign Agreement With The French Autorité Des Marchés Financiers

Date 08/02/2018

The securities regulatory authorities in Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Ontario, Québec and Saskatchewan (participating jurisdictions) today announced a co-operation agreement with the French Autorité des marchés financiers (French AMF, based in Paris, France). This agreement will allow the participating jurisdictions and the French AMF to refer novel businesses seeking to enter the others’ markets.

FINRA Releases Paper Providing Perspectives On Customer Recovery

Date 08/02/2018

The Financial Industry Regulatory Authority (FINRA) today released a paper providing perspectives on customer recovery of judgments and awards in the financial services industry, with a particular focus on the arbitration forum operated by FINRA. The paper – FINRA Perspectives on Customer Recovery – is intended to encourage a continued dialogue about addressing the challenges of customer recovery across the industry while directly informing the further enhancement of recovery in FINRA’s forum. As noted in the paper, FINRA plans to organize discussions with other regulators and policymakers to further address the issue of customer recovery, identify additional data or analysis that may help inform effective decision-making in this area, and consider potential courses of action.

CME Group Announces Retirement Of Jack Sandner

Date 08/02/2018

CME Group today announced that Retired Chairman Jack Sandner will step down from the CME Group Board of Directors at the conclusion of his current term in May 2018.  Following his retirement, Sandner will serve as a consultant to CME Group for two years.

Vienna Stock Exchange: De Raj Group AG New Listing On The Market

Date 08/02/2018

Vienna Stock Exchange welcomes new company, De Raj Group AG, to the standard market. De Raj Group AG, a company based in Cologne, started listing exclusively on the Vienna Stock Exchange today. There is no capital increase with this listing. Trading and price determination take place during the auction held once a day at 1.30 p.m. According to company sources, around 15% of company's stocks are free float. The company's business is mainly in heating plants (thermal power) as well as oil and gas exploration (offshore) in the regions of Central Europe and Southeast Asia. 

CME Group Announces Retirement Of Leo Melamed

Date 08/02/2018

CME Group today announced that Chairman Emeritus Leo Melamed will retire from the CME Group Board of Directors at the conclusion of his current term in May 2018.  Following his retirement, Melamed will serve as a consultant to the company for the next two years.  After that time, Melamed will continue to retain his title as Chairman Emeritus.

Irish Stock Exchange: IPOready Phase 2 Focuses On Sources Of Finance And Investors

Date 08/02/2018

The second phase of the Irish Stock Exchange’s (ISE) IPOready programme 2017-2018 is now complete. The focus of Phase 2 was on sources of finance and investors.