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ASIC Review Of 31 December 2019 Financial Reports

Date 31/07/2020

ASIC today announced the results from its review of the financial reports for the year ended 31 December 2019 of 90 listed entities and other public interest entities with larger number of users of their reports. The review was conducted as part of ASIC’s ongoing risk-based reviews of the financial reports.
LSEG All Share Acquisition Of Refinitiv – Update

Date 31/07/2020

In the context of the European Commission’s Phase II review, London Stock Exchange Group plc (LSEG) confirms that it has commenced exploratory discussions which may result in a sale of LSEG’s interest in MTS or potentially the Borsa Italiana group as a whole. There can be no certainty that LSEG will decide to proceed with a transaction relating to either of these businesses.
China Dominates APAC VC Funding Landscape Q2 2020, Reveals GlobalData

Date 31/07/2020

China continued to top the venture capital (VC) funding activity both in terms of volume as well as value and was way ahead of its peer countries in the Asia-Pacific (APAC) region during the second quarter (Q2) of 2020, according to GlobalData, a leading data and analytics company.
Opinions Solicited For Guidelines Of Shanghai Stock Exchange For Development Of Index Securities Investment Funds (Draft For Comment)

Date 31/07/2020

In order to further regulate the product development and other business activities of the publicly offered index funds on the exchange, promote the sustainable and healthy growth of index funds, and protect the legitimate rights and interests of investors, in accordance with the Guidelines No. 3 for Operation of Publicly Offered Securities Investment Funds - Guidelines for Index Funds (Draft for Comment) (the Index Fund Guidelines for short) issued by the China Securities Regulatory Commission (CSRC), the Shanghai Stock Exchange (SSE) drafted the Guidelines of Shanghai Stock Exchange for Development of Index Securities Investment Funds (Draft for Comment) (the Development Guidelines for short), for which public opinions are solicited as from today, with the deadline on August 14, 2020.
Montréal Exchange Interest Rate Derivative Trading Ceases At 1:30 P.M. Today - Exchange's Markets Closed On August 3, 2020

Date 31/07/2020

Interest rate derivative trading will cease at 1:30 p.m. today, July 31, 2020. Furthermore, the Exchange's markets will be closed on August 3, 2020.

BOX Exchange: Regulatory Coordination Concerning CAT Reporting Compliance

Date 30/07/2020

Please refer to the following FINRA Regulatory Notice providing an update on coordination between the national securities exchanges and FINRA on the Consolidated Audit Trail (“CAT”) compliance rules (the “CAT Compliance Rules”), available at FINRA Regulatory Notice 20-20.
SEC Charges Former Georgia State Legislator With Defrauding Investors In Ponzi Scheme

Date 30/07/2020

The Securities and Exchange Commission today charged former Georgia state legislator and former member of the Georgia Board of Regents Clarence Dean Alford with defrauding at least 100 investors in his now-bankrupt energy development company, Allied Energy Services LLC.
BOX Exchange: Adoption Of Changes To Minor Rule Violation Plan Adding CAT Reporting Compliance Rules

Date 30/07/2020

BOX Exchange (“BOX” or “Exchange”) has adopted changes to its Minor Rule Violation Plan (“MRVP”) to make Participants’ violations of the Consolidated Audit Trail (“CAT”) compliance rules (“CAT Compliance Rules”) eligible for disposition with a minor rule violation fine, when warranted.
Moscow Exchange: Risk Parameters Change On Securities Market

Date 30/07/2020

CCP NCC changes PcH_max parameter value that defines price up limit for RKKE shares on Securities market starting from July 31, 2020:

Ticker Current value PcH_max New value PcH_max

RKKE 40% 10%
Ontario Introduces Interim Registration And Prospectus Exemptions To Facilitate Start-Up Securities Crowdfunding

Date 30/07/2020

The Canadian Securities Administrators (CSA) today announced that in light of COVID-19 and the challenges it presents to small businesses seeking to raise capital, the Ontario Securities Commission (OSC) made an interim local order that adopts the start-up crowdfunding regime currently in place in certain other Canadian jurisdictions (the Interim Order).