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What's Happening from Start-Up To Small Cap: SEC's Small Business Advocate To Host Capital Call Feb. 4

Date 15/01/2021

The Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation will host its second annual Capital Call on Feb. 4, 2020, at 1 p.m. ET, where the office will talk about what’s happening with capital raising from startup to small cap. The Capital Call is styled after public companies' earnings release calls and will include discussion and an opportunity to ask questions about the office's recent Annual Report to Congress and the Commission. During the virtual event, office staff members will discuss what has been happening with capital raising across the country, including a spotlight on the impacts of the COVID-19 pandemic, the unique challenges faced by underrepresented businesses, the office's work in supporting small businesses and their investors, and the policy recommendations the office has developed in response.
ESMA: Links To The National Websites Explaining The Procedures For Notifications Of Net Short Positions

Date 15/01/2021

For the implementation of the requirements to notify competent authorities and to publicly disclose net short positions under Regulation (EU) No 236/2012 on Short Selling and certain aspects of credit default swaps, ESMA provides the links to the websites of the Member States where the information about the national notifying procedures and the forms to use are made available.
UK Financial Conduct Authority Publishes Defined Benefit Advice Assessment Tool

Date 15/01/2021

The FCA Defined Benefit Advice Assessment Tool (DBAAT) helps the market understand how we assess the suitability of Defined Benefit (DB) pension transfer advice.
Tier1 Acquires Compliance And Financial Crime Prevention Software Solution, Alessa - The Acquisition Expands Tier1’s Portfolio Of Digital Transformation Solutions To Optimize Client Engagement, Increase Operational Efficiency And Reduce Regulatory Compliance Risk, And Is In Conjunction With President Jiro Okochi’s Promotion To CEO Of Tier1.

Date 15/01/2021

Tier1 Financial Solutions, a leading provider of client relationship management (“CRM”) solutions, has acquired Alessa, a compliance and financial crime prevention solution. The acquisition positions Tier1 to significantly grow its portfolio of solutions to meet its ambitious goal to digitally transform processes within organizations for greater client insights, revenue protection, regulatory compliance and AI-driven automation. Terms of the transaction were not disclosed.
ACER Updates Its Requirements For Registered Reporting Mechanisms And Will Resume The Registration Of Registered Reporting Mechanisms

Date 15/01/2021

In light of the adoption and entry into application of the European Commission’s Decision on fees due to ACER for collecting, handling, processing and analysing of information reported under REMIT, ACER has updated its requirements’ document for Registered Reporting Mechanisms (RRMs) and will resume their registration. ACER had informed on 20 November 2019 that it unfortunately had to suspend the processing of pending RRM applications due to its resource limitations.

ETFGI Reports Assets Invested In ETFs And ETPs Listed In The United States Reach A New Milestone Of US$5.47 Trillion At The End Of 2020

Date 15/01/2021

ETFGI, a leading independent research and consultancy firm covering trends in the global ETFs and ETPs ecosystem, reported today that ETFs and ETPs listed in the United States reach a new milestone of US$5.47 trillion at the end of 2020. During 2020 assets increased by 23.6% going from US$4.421 trillion to US$5.47 trillion. During December ETFs and ETPs listed in US gathered net inflows of US$63.49 billion, bringing year-to-date net inflows to a record US$490.19 billion which beats the prior record of US$468.25 billion set in 2017, according to ETFGI's December 2020 US ETFs and ETPs industry landscape insights report, the monthly report which is part of an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)
18 January Is Non-Trading Day For US Securities On MOEX

Date 15/01/2021

On 18 January 2021 (Martin Luther King, Jr. Day in the US), Moscow Exchange markets will be closed for trading of shares of US companies through MOEX’s central T+ order books.
Malawi Stock Exchange Annual Market Performance Report- 2020

Date 15/01/2021

In the year 2020, the market transacted a total of 1,645,194,139 shares at a total consideration of MK41,085,584,358.55 (US$54,522,713.98) in 3,114 trades. In the corresponding period 2019, the market transacted a total of 1,393,849,808 shares at a total consideration of MK46,370,960,122.47 (US$63,638,717.53) in 3,064 trades. This reflects a 18.03% increase in share volume traded and a –11.40% (-14.32% in US Dollar terms) decrease in share value traded. Of the shares traded, 208,956,044 NBS, 142,226,423 FDHB, 140,000,000 TNM, 36,131,224 FMBCH, 18,671,499 NICO, 6,039,132 PCL, 1,000,000 SUNBIRD and 148,666 OMU traded as negotiated deals.
ESAs’ Board Of Appeal Dismisses Case Against The EBA On Alleged Non-Application Of Union Law As Manifestly Inadmissible

Date 15/01/2021

The Joint Board of Appeal of the European Supervisory Authorities (ESAs – European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority) published today its decision in relation to an alleged non-application of Union law by eight national competent authorities brought by Mr Howerton against the European Banking Authority (EBA). In its decision, the Board of Appeal dismisses the Appellant’s claim as manifestly inadmissible as the facts described do not seem to involve a subject-matter within the remit of the EBA nor of the Board of Appeal.
Moscow Exchange: Risk Parameters Change For The Security LSNG

Date 15/01/2021

As per the Securities market risk parameters methodology, on 15.01.2021, 13-17 (MSK) the upper bound of the price band (up to 7.88) and initial margins (up to 62.5 %) for the security LSNG were changed. New values are available here