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FINRA Provides New Reg BI And Form CRS Resources To Assist Member Firms In Complying With SEC Rules By June 30, 2020

Date 08/10/2019

FINRA today announced it has made available new resources to assist member firms in their efforts to comply with the Securities and Exchange Commission (SEC) Regulation Best Interest (Reg BI) and Form CRS by the rules’ compliance date of June 30, 2020. FINRA is assisting members in a variety of ways including by providing a new Reg BI and Form CRS Checklist – available on FINRA’s Reg BI webpage along with a number of other resources – and by hosting several FINRA Reg BI events in the coming months.
SEC Names Katharine E. Zoladz As Associate Regional Director In Los Angeles Office

Date 08/10/2019

The Securities and Exchange Commission today announced that Katharine E. Zoladz has been named Associate Regional Director for enforcement in the Los Angeles Regional Office. Ms. Zoladz succeeds John Berry, who left the agency in July 2019. Ms. Zoladz will now oversee the Los Angeles office's enforcement efforts in Southern California, Arizona, Hawaii, and Nevada, along with fellow Associate Regional Director Alka Patel.
SIX And The SNB Explore Technological Approaches For The Use Of Digital Central Bank Money In The Settlement Of Tokenized Assets

Date 08/10/2019

As part of a proof of concept, SIX is working with the SNB to explore technological options to make digital central bank money available for the trading and settlement of tokenized assets between financial market participants. The technological foundation for its feasibility is provided by the SIX Digital Exchange, which uses distributed ledger technology.
UK Financial Conduct Authority Urges Remaining Victims Of Churchgate Trading Syndicate To Get In Touch

Date 08/10/2019

The Financial Conduct Authority (FCA) urges members of the public who lost money in an unauthorised scheme called the Churchgate Trading Syndicate and who may be eligible to receive some of their money back, to get in contact with the FCA.
EBA Urges Continued Progress In Financial Institutions' Preparations For The UK's Departure From The EU

Date 08/10/2019

The European Banking Authority (EBA) published today a communication on the remaining issues related to the preparation by financial institutions for the departure of the UK from the EU. In this communication, the EBA urges continued progress on contingency planning. Notably, to ensure that assets, appropriate staff and data are in place to support relevant authorisations and that customers are adequately informed.

ESMA Adopts MAR Standards On Supervisory Cooperation

Date 08/10/2019

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has issued today its final report on a set of Regulatory Technical Standards (RTS) on the application of the Market Abuse Regulation (MAR).
Eurex: Stuart Heath On Our new Equity Total Return Futures

Date 08/10/2019

On 7 October Eurex introduced Total Return Futures on single equities, complementing the Eurex suite of equity index derivatives and supporting the market in complying with new financial market legislation. We spoke to Stuart Heath, Eurex Equity & Index Product Development, about the new futures, how they benefit clients and how they push towards futurization.
ESA's Joint Board Of Appeal Decides On Appeal Against The EBA

Date 08/10/2019

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 the appeal by the credit rating agency Creditreform AG against the European Banking Authority.
Euronext N.V. Extraordinary General Meeting Results

Date 08/10/2019

Euronext today announced that, in its Extraordinary General Meeting (EGM) that took place today, all the items on the agenda were approved.
TMX Group Thanksgiving Holiday Market Closures

Date 08/10/2019

Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange and Montréal Exchange will be closed on Monday, October 14, 2019 for the Thanksgiving holiday.