News Centre

Kenya’s Capital Markets Authority Launches International Certification For The Capital Markets Industry

Date 21/04/2016

As part of its drive to enhance the positioning of Kenya as a premier investment destination, the Capital Markets Authority (CMA) has launched international certification standards for practitioners in the capital markets industry. The launch is the product of the signing of a Memorandum of Understanding (MOU) with the Chartered Institute for Securities & Investment (CISI) in September 2014.

Moscow Exchange: New Screen For Market Data

Date 21/04/2016

Moscow Exchange switches to a new screen displaying online market data and end-of-day results to finalise the transfer to domain name moex.com. 

SIX Swiss Exchange: Trading Commences On XBTR, A Bilateral Trading Platform For Structured Products

Date 21/04/2016

On April 15 trading commenced on XBTR, the bilateral trading platform for structured products from SIX Swiss Exchange. The two participants of the platform, Leonteq and Credit Suisse became the first ones to also profit in OTC trading of structured products from the benefits of the infrastructure of SIX.

WFE-IOMA Annual Clearing & Derivatives Conference

Date 21/04/2016

Converging Global Capital Market Conversations

Japan's Financial Services Agency: Exchange Of Letters On Cooperation In The Area Of Audit Oversight With The Haut Conseil Du Commissariat Aux Comptes (H3C) In France

Date 21/04/2016

The Financial Services Agency (FSA) and the Certified Public Accountants and Auditing Oversight Board (CPAAOB) exchanged the Letters on cooperation in the area of audit oversight with the Haut Conseil du commissariat aux comptes (H3C) in France on April 15, 2016.

• Letter on cooperation in the area of audit oversight (English) (PDF:3,755KB)
• Letter on cooperation in the area of audit oversight (Japanese) (PDF:3,410KB)

SIFMA Statement On EMSAC Recommendations On Trading Venue Regulations And Access Fee Pilot

Date 20/04/2016

SIFMA today issued the following statement from Randy Snook, SIFMA executive vice president of business policies and practices, on the Equity Market Structure Advisory Committee’s (EMSAC) subcommittee recommendations relating to trading venues regulation and framework for a potential access fee pilot.  

CFTC Swaps Report Update

Date 20/04/2016

CFTC's Weekly Swaps Report has been updated, and is now available.

FINRA Securities Helpline For Seniors Marks First Year, With $1.3 Million Returned To Investors - Through FINRA Oversight, Seniors Have Obtained Voluntary Reimbursements From Firms

Date 20/04/2016

The Financial Industry Regulatory Authority (FINRA) today marks the one-year anniversary of the FINRA Securities Helpline for Seniors 1-844-57-HELPS (1-844-574-3577). To date, the helpline has fielded more than 4,200 calls, recovering over $1.3 million in voluntary reimbursements from firms since its launch in April 2015. "Financial fraud is a problem, and seniors are the most vulnerable. Victims of fraud sometimes feel they have nowhere to go, or are embarrassed to reach out," said Susan Axelrod, FINRA Executive Vice President, Regulatory Operations. "We are very pleased that investors are using our free helpline and encourage seniors, or those caring for seniors, with investment-related questions to give us a call."

CFTC And Three Canadian Authorities Sign Counterparts To MOU To Enhance Supervision Of Cross-Border Regulated Entities

Date 20/04/2016

The U.S. Commodity Futures Trading Commission (CFTC) announced today that CFTC Chairman Timothy Massad signed Counterparts with authorities in three Canadian provinces to a 2014 Memorandum of Understanding (MOU) regarding cooperation and the exchange of information in the supervision and oversight of regulated entities that operate on a cross-border basis in the United States and in Canada.

SIFMA Submits Comments On Treasury Market Structure

Date 20/04/2016

In comment letters filed today in response to the U.S. Treasury Department's request for information on the evolution of the Treasury market structure, SIFMA together with the American Bankers Association, and separately the Asset Management Group at SIFMA (SIFMA AMG), urges Treasury to recognize the uniqueness, importance and diversity of the Treasury market as it considers proposed rulemaking.