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SEC: Investment Fraud Victims Include Online Daters

Date 10/06/2016

The Securities and Exchange Commission today announced fraud charges and an asset freeze obtained against a Connecticut man accused of misleading people into investing in his company and then taking their money for his personal use. His victims include several women he met through an online dating website.
SIFMA Urges SEC To Amend Muni Disclosure Rule & Issue Additional Guidance

Date 10/06/2016

In a letter to SEC Chair White, SIFMA president and CEO Kenneth E. Bentsen, Jr. urges the SEC to amend Rule 15c2-12, which covers dealers continuing disclosure obligations, and release additional guidance.
Statement Of CFTC Commissioner Sharon Y. Bowen Before The AT Roundtable

Date 10/06/2016

Good morning. It’s a pleasure to be here for today’s roundtable. We have a very full list of topics today so I’ll be brief. I have already spoken several times about the remarkable changes being wrought by the rise of algorithmic trading and the positive impact that I believe our proposed Regulation on Automated Trading will have on market stability. However, I have also said that I believe this regulation is just a first cut and that we may need to update our proposal to ensure that we are appropriately protecting both the financial system and ordinary investors.
Nasdaq Appoints Michael Ptasznik As Chief Financial Officer

Date 10/06/2016

Nasdaq (Nasdaq:NDAQ) today announced that Michael Ptasznik, a 20-year veteran of TMX Group Limited, has been appointed as Chief Financial Officer. Mr. Ptasznik will join Nasdaq effective July 11, 2016.
CFTC: Opening Statement Of Commissioner J. Christopher Giancarlo Before The CFTC Staff Roundtable On Regulation Automated Trading

Date 10/06/2016

My thanks to the agency staff for arranging today’s roundtable. This hearing is important and timely. I intend to follow the discussion closely.

TMX Group Announces Resignation Of Chief Financial Officer

Date 10/06/2016

TMX Group Limited today announced that Michael Ptasznik, Chief Financial Officer (CFO), has resigned from the organization to pursue another opportunity.
ETFGI Reports Assets Invested In ETFs/ETPs Listed In The United States Reached A New Record High Of 2.230 Trillion US Dollars At The End Of May 2016

Date 10/06/2016

ETFGI the leading independent research and consultancy firm on trends in the global ETF/ETP ecosystem, today reported assets invested in ETFs/ETPs listed in the United States reached a new record high US$2.230 trillion at the end of May 2016, according to preliminary data from ETFGI’s May 2016 global ETF and ETP industry insights report (click here to view the ETFGI global asset growth chart).
Malawi Stock Exchange Weekly Trading Report - 10 June, 2016

Date 10/06/2016

Click here to download Malawi Stock Exchange's weekly trading report for week ending 10 June, 2016.
Hong Kong's Securities And Futures Commission Acting Head Of Investment Products

Date 10/06/2016

The Securities and Futures Commission (SFC) has appointed Ms Christina Choi as Acting Head of Investment Products with effect from 19 June 2016. She is currently Senior Director of the Division.
Tokyo Stock Exchange: Approval Of Initial listing (ETF): MAXIS JAPAN Proactive Investment In Physical And Human Capital 200 Index ETF (Mitsubishi UFJ Kokusai Asset Management)

Date 10/06/2016

Today, Tokyo Stock Exchange, Inc. (TSE) approved the listing of new ETF managed by “Mitsubishi UFJ Kokusai Asset Management Co., Ltd.”. The ETF will be listed on Wednesday, June 29, 2016.