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IIROC 2015-2016 Priorities

Date 28/04/2015

Over the last several years, Canada’s capital markets have continued to experience significant and unprecedented change. There have been sweeping changes to the business environment in which investment firms operate, in the way technology and innovation are affecting the overall market structure and services being offered to clients, and in the evolution of the client-advisor relationship. Changing demographics, investor needs and expectations are posing new opportunities and challenges for regulators and the broader financial services industry.
British Columbia Securities Commission Man Settles With BCSC For Illegally Trading In Securities

Date 28/04/2015

In a settlement agreement with the British Columbia Securities Commission (BCSC), Daniel Quo Ming Sam has admitted that he engaged in an illegal distribution of securities.
The Buy Side Report - Toronto Stock Exchange And TSX Venture Exchange

Date 28/04/2015

Welcome to the third edition of "The Buy Side Report," a new quarterly information feature about Canada's leading equities markets, Toronto Stock Exchange (TSX) and TSX Venture Exchange (TSXV). The quarterly publication presents detailed market data about sector index performance, share price and trading information, insight into foreign investment in Canadian equities, as well as an up-to-date economics viewpoint provided by an external contributor each quarter.
FIA Global Issues Recommendations On Central Clearing Risks

Date 28/04/2015

Today, FIA Global issued recommendations for assessing and managing risks that arise from central counterparty (CCP) clearing.
Semi - Annual Review Of FTSE/ATHEX Index Series

Date 28/04/2015

The FTSE/ATHEX Indices Advisory Committee met and approved the following changes in the composition of the FTSE/ATHEX Index Series, taking into consideration the results of the review for the period October 2014 - March 2015.

Moscow Exchange Announces Result Of AGM

Date 28/04/2015

Moscow Exchange held its Annual General Meeting of Shareholders (AGM) on 28 April 2015. Shareholders approved the company"s annual report for 2014, FY 2014 financial statements and distribution of profit, including dividends for FY 2014.
ASIC: FC Stone Australia Pty Ltd Pays $130,000 Infringement Notice Penalty

Date 28/04/2015

FC Stone Australia Pty Ltd ("FC Stone") has paid a total penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel ("MDP"). The MDP had reasonable grounds to believe that FC Stone had contravened subsection 798H(1) of the Corporations Acton several occasions by failing to comply with certain ASIC (ASX24) market integrity rules.
MIAX Options - May 1, 2015 Fee Changes - Amendment To The Market Maker Trading Permit Fees

Date 28/04/2015

Effective May 1, 2015, the MIAX Options Market Maker Trading Permit symbol assignment tiers and associated fees will be amended.
CFTC’s Global Markets Advisory Committee To Meet May 14, 2015

Date 28/04/2015

The U.S. Commodity Futures Trading Commission (CFTC) announced today that the Global Markets Advisory Committee (GMAC) will hold a public meeting on May 14, 2015 at CFTC’s headquarters in Washington, D.C.
ESMA Vacancy Notice - Senior Legal Officer (Enforcement Profile)

Date 28/04/2015

Deadline: 01/06/2015. Please refer to our vacancy page for the details on this position (Ref: 2015/VAC4/AD8) and how to apply.