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  • Canadian Securities Regulators Outline Next Steps In Examination Of Mutual Fund Fees

    Date 29/06/2016

    The Canadian Securities Administrators (CSA) today published CSA Staff Notice 81-327 Next Steps in the CSA’s Examination of Mutual Fund Fees, in fulfilment of its commitment to communicating a policy direction on mutual fund fees by mid-2016.

  • CFTC Releases Rule Enforcement Review Of The CBOE Futures Exchange, LLC

    Date 29/06/2016

    The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) announced today that it issued the results of a rule enforcement review of the CBOE Futures Exchange, LLC (CFE or Exchange) on June 24, 2016. The review covered a one-year target period. The Division evaluated CFE’s compliance with Designated Contract Market Core Principles 2 (Compliance With Rules), 12 (Protection of Markets and Market Participants), and CFTC regulations related to an exchange’s trade practice surveillance program.

  • Canadian Securities Regulators Issue Guidance In The Event Of The Disruption Of Mail Service

    Date 29/06/2016

    In light of the possibility of a Canada-wide postal strike starting as early as Saturday, July 2, 2016, the Canadian Securities Administrators (CSA) recommends that all stakeholders required to deliver materials to one of its members, as well as deliver documents to security holders, contact their local securities regulator or visit their local regulator’s website for guidance regarding prescribed delivery obligations.

  • FINRA Fines Deutsche Bank Securities Inc. $6 Million For Submitting Inaccurate And Late Blue Sheet Data

    Date 29/06/2016

    The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $6 million for failing to provide complete and accurate trade data in an automated format in a timely manner when requested by FINRA and the Securities and Exchange Commission (SEC). As part of the settlement, Deutsche Bank has agreed to retain an independent consultant to improve its policies, systems and procedures related to blue sheet submissions.

  • NYSE Member Firms Report First-Quarter Results

    Date 29/06/2016

    New York Stock Exchange member firms that conduct business with the public reported a first-quarter 2016 after-tax profit of approximately $2.2 billion and revenues of approximately $39.5 billion, compared with approximately $4.3 billion after-tax profit on revenues of about $43.6 billion in the first-quarter of 2015.

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