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Hong Kong’s Securities And Futures Commission Revokes Licences Of Goodcape Securities Limited And Its Responsible Officers Tang Lin Sun And Chang Siu Ming

Date 16/12/2016

The Securities and Futures Commission (SFC) has revoked the licences of Goodcape Securities Limited (Goodcape) and its two responsible officers, Mr Tang Lin Sun and Mr Chang Siu Ming.
SIFMA Statement On Fed’s Final TLAC Rule

Date 16/12/2016

Today, SIFMA issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, on the Federal Reserve’s final total loss absorbing capacity (TLAC) rule.
CFTC Staff Issues No-Action Relief From The Inter-Affiliate Exemption From Required Clearing For Affiliated Counterparties Located In Australia Or Mexico

Date 16/12/2016

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Clearing and Risk (DCR) today issued no-action relief to swap market participants to permit a provision of the inter-affiliate exemption from required clearing to be relied upon for swaps executed between certain U.S. swap market participants and their affiliated counterparties located in Australia or Mexico. This relief offers counterparties located in Australia and Mexico the same relief that has been available to counterparties located in the European Union, Japan, and Singapore.
Euro Clearing Likely To Move From London After Brexit

Date 15/12/2016

According to Reuters, the European Union is considering legislative measures to move London's euro-denominated clearing business to the euro zone after Britain leaves the EU.
The MiG Report - TSX, TSX Venture Exchange

Date 15/12/2016

Please click here for the November 2016 MiG Report.

ASIC: Companies Need To Respond To Major New Accounting Standards

Date 15/12/2016

Three new accounting standards coming into force over the next two years are expected to have the greatest impact on financial reporting since the adoption of International Financial Reporting Standards (IFRS) in 2005.
Ontario Securities Commission Approves No-Contest Settlement Agreement With BMO Nesbitt Burns Inc., BMO Private Investment Counsel Inc., BMO Investments Inc. And BMO InvestorLine Inc.

Date 15/12/2016

The Ontario Securities Commission (OSC) today approved a no-contest settlement agreement with BMO Nesbitt Burns Inc., BMO Private Investment Counsel Inc., BMO Investments Inc. and BMO InvestorLine Inc. (the BMO Registrants) in relation to a matter that the BMO Registrants discovered and self-reported to the OSC.
IIROC Provides Compliance Survey Update On Managing Conflicts In Clients' Best Interests - Results Highlight Best Practices And Areas For Improvement

Date 15/12/2016

The Investment Industry Regulatory Organization of Canada (IIROC) today published high-level results of a targeted review of firms' policies and procedures for meeting the regulator's "best interest" requirements, showing both best practices and areas of concern in how firms manage compensation-related conflicts of interest. As it continues this review, IIROC will take appropriate regulatory action as required.
Canadian Securities Regulators Provide Update On Consultation On Option Of Discontinuing Embedded Commissions

Date 15/12/2016

On June 29, 2016, the Canadian Securities Administrators (CSA) published CSA Staff Notice 81-327Next Steps in the CSA’s Examination of Mutual Fund Fees, which indicated an intention to publish a consultation paper in 2016 that would explore the option of discontinuing embedded commissions and the potential impacts of such a change on Canadian investors and market participants.
MIAX Options Exchange - MIAX Complex Top Of Market Data Product (“cToM”)

Date 15/12/2016

The Exchange has filed for immediate effectiveness to establish complex order market data products, including a new market data product known as MIAX Complex Top of Market (“cToM”). The Exchange is implementing a feature of cToM that provides subscribers with the number of Priority Customer contracts that are included in the size associated with the Complex MBBO (“cMBBO”).