News Centre

Launch Date For NZ Milk Price Options

Date 16/06/2016

NZX is pleased to announce that the launch of milk price options contracts will occur on 30 June 2016. This follows the successful launch of milk price futures contracts on 27 May.

Remarks From The SIFMA Complex Product Forum, Thomas M. Selman, Executive Vice President, Regulatory Policy, New York, NY, June 16, 2016

Date 16/06/2016

Please imagine that you are on vacation in Paris, France. Today you have planned a lavish meal at a famous restaurant named “Chez Jean.” It is owned by Jean Maurello, the most renowned member of a prestigious clan of French chefs.  

Your objective is a multicourse dinner that will begin at noon and extend into the evening. Call this the “10-hour repast.”  

CFTC Reopens Comment Period For Certain Elements Of Regulation AT

Date 16/06/2016

Staff of the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight held a public roundtable meeting on Friday, June 10, 2016, to discuss certain elements of the CFTC’s notice of proposed rulemaking (NPRM) regarding Regulation Automated Trading (Regulation AT). In connection with the roundtable, staff has published theRoundtable and Comment Period Discussion Points.

Ontario Securities Commission Announces Office Of The Whistleblower Launch Date And Appoints Chief

Date 16/06/2016

The Ontario Securities Commission (OSC) announced today the appointment of Kelly Gorman as Chief of the Office of the Whistleblower, effective immediately. The Office of the Whistleblower will open to receive tips on July 14, 2016. 

IIROC Publishes Final Membership Disclosure Rules

Date 16/06/2016

The Investment Industry Regulatory Organization of Canada (IIROC) today published final rule amendments which set out requirements for IIROC Dealer Members to disclose that they are regulated by IIROC and link their websites directly to IIROC's searchable database of advisors working for these firms.

Poseidon Concepts Senior Executives Settle With Alberta Securities Commission For Overstating Company’s Financial Position

Date 16/06/2016

The Alberta Securities Commission (ASC) has concluded Settlement Agreements with Poseidon Concepts senior executives Lyle Dennis Michaluk, Matthew Cory MacKenzie and Clifford Leroy Wiebe in which they admit to breaching Alberta securities laws by filing financial statements that overstated Poseidon Concepts’ revenue and accounts receivable. The men held the positions of Chief Executive Officer, Chief Financial Officer and Chief Operating Officer of Poseidon, respectively.

SEC Proposes Rules To Modernize Property Disclosures For Mining Registrants

Date 16/06/2016

The Securities and Exchange Commission today announced that it has proposed rules to modernize the disclosure requirements for mining properties by aligning them with current industry and global regulatory practices and standards.  The proposed revisions would update disclosure requirements for mining registrants in Item 102 of Regulation S-K under the Securities Act of 1933 and the Securities Exchange Act of 1934 and related guidance in Industry Guide 7.

Office Of Financial Research Update: "The Interplay Between Financial Regulations, Resilience, And Growth"

Date 16/06/2016

The OFR posted remarks today by Director Richard Berner at a conference in Philadelphia on "The Interplay Between Financial Regulations, Resilience, and Growth" sponsored by the Federal Reserve Bank of Philadelphia, the Wharton Financial Institutions Center, Imperial College Business School, and the Journal of Financial Services Research.

SEC: Software Executive And Three Friends Charged With Insider Trading

Date 16/06/2016

Aequitas PTF Connect™ Facilitates First PTF™ Transactions - Another Aequitas Fintech Solution To Benefit Investors And Investment Advisors

Date 16/06/2016

Aequitas Connect, the innovation hub of Aequitas Innovations Inc.(Aequitas) today announced that four investment dealers are now signed on to Aequitas PTF Connect™, its fund technology platform that enables actively managed mutual funds to be transacted and settled like Exchange Traded Funds (ETFs). Four more will shortly be connected. A wide community of investment dealers, portfolio managers and investment advisors across Canada can now access PTFs through some of the largest Canadian correspondent dealers connected to the platform. Early adopters include: National Bank Financial; ITG Canada; Jitneytrade and BBS Securities.