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TMX Group Equity Financing Statistics – October 2018

Date 07/11/2018

TMX Group today announced its financing activity on Toronto Stock Exchange (TSX) and TSX Venture Exchange (TSXV) for October 2018.
SEC Charges ITG With Misleading Dark Pool Subscribers

Date 07/11/2018

The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities Inc. have agreed to pay $12 million to settle charges arising from ITG’s misstatements and omissions about the operation of the firm’s dark pool, POSIT, and ITG’s failure to establish adequate safeguards and procedures to protect POSIT subscribers’ confidential trading information.
Keynote Address Of CFTC Chairman J. Christopher Giancarlo At Fintech Week, Georgetown University Law School - “Quantitative Regulation: Effective Market Regulation In A Digital Era”

Date 07/11/2018

Thank you. Let me begin by thanking Georgetown Law Professor and Director of the Institute of International Economic Law, Chris Brummer. In only a few short years under his leadership, the Georgetown Law FinTech Conference has become one of the true forums for thought leadership in the overcrowded industry of FinTech conferences.
Citibank To Pay More Than $38 Million For Improper Handling Of ADRs

Date 07/11/2018

The Securities and Exchange Commission today announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs).
UK Financial Conduct Authority Statement On The Launch Of The Cost Transparency Initiative (CTI)

Date 07/11/2018

The FCA is pleased to note today’s announcement which launches a new body to deliver a template for the disclosure of costs and charges to institutional investors. This will lead to improvements in the ability of institutional investors to access and assess critical information on costs.

ESMA Appoints New Chairs To Four Standing Committees

Date 07/11/2018

The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed the following individuals to serve as chairs of its standing committees:
- Carmine Di Noia, Commissioner of the Commissione Nazionale per le Società e la Borsa (CONSOB), Italy, will chair the Committee for Economic and Markets Analysis;
- Christopher Buttigieg, Director of the Securities and Markets Supervision Unit at the Malta Financial Services Authority (MFSA), will chair the DataStanding Committee;
- Martin Moloney, Head of Markets Policy Division at the Central Bank of Ireland (CBI) will chair the Investment Management Standing Committee; and
- Merel van Vroonhoven, Chair of the Autoriteit Financiële Markten (AFM), Netherlands will chair the Investor Protection and Intermediaries Standing Committee.
BME: MARF Registers A New Commercial Paper Programme By José de Mello Saúde

Date 07/11/2018
- The company is one of the largest Portuguese private healthcare operators
- It seeks to diversify its funding sources with the entry of new investors
- This is the first commercial paper programme by a Portuguese issuer in this Fixed Income market of BME
ESMA Publishes The Responses To Its Consultation On Revised Guidelines On Periodic Reporting By CRAs

Date 07/11/2018

ESMA has published the responses received to the Consultation Paper on Guidelines on the submission of periodic information to ESMA by Credit Rating Agencies.
UK Prudential Regulation Authority Imposes Financial Penalty On Mr Akira Kamiya And Mr Takami Onodera For Failure To Disclose Information

Date 07/11/2018

This follows on from the PRA’s 9 February 2017 Final Notice in which the PRA imposed financial penalties on The Bank of Tokyo-Mitsubishi (BTMU) £17.85m and MUFG Securities EMEA plc £8.925m.
ESMA Updates Its Q&As Regarding The Benchmark Regulation

Date 07/11/2018

The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers (Q&As) on the Benchmarks Regulation (BMR).