News Centre

NYSE Group Consolidated Short Interest Report

Date 09/10/2018

NYSE today reported short interest as of the close of business on the settlement date of September 28, 2018.

Statement Of CFTC Chairman J. Christopher Giancarlo On Proposed Amendments To Registration And Compliance Requirements For Commodity Pool Operators And Commodity Trading Advisors

Date 09/10/2018

In response to the Request for Information issued as part of Project KISS, the Commission received a number of letters from members of the asset management industry suggesting areas of potential rulemaking that, in their view, would make the Commission’s regulations more efficient and less burdensome.  I believe that today’s notice of proposed rulemaking furthers both of those interests. 

MGEX Board Appoints Public Directors, Officers, Committee Assignments

Date 09/10/2018

As its October 9, 2018, Organizational Meeting, the MGEX Boards of Directors names 2018-2019 public directors, names Board officers and approved committee assignments.

CFTC Proposes To Streamline Regulations For Commodity Pool Operators And Commodity Trading Advisors

Date 09/10/2018

The Commodity Futures Trading Commission (CFTC) unanimously approved proposed rules as a part of CFTC’s KISS Initiative to simplify regulations for commodity pool operators (CPOs) and commodity trading advisors (CTAs).

Industry Groups Set Out Impact Of Hard Brexit On Derivatives

Date 09/10/2018

ISDA, the Association of German Banks (Bundesverband deutscher Banken), the Italian Financial Markets Intermediaries Association (Associazione Intermediari Mercati Finanziari), the Banking and Payments Federation Ireland (BPFI), the Danish Securities Dealers Association (Børsmæglerforening Danmark), the Dutch Banking Association (Nederlandse Vereniging van Banken) and the Swedish Securities Dealers Association (Svenska Fondhandlareföreningen) have jointly published a paper that warns of the disruptive impact of a ‘hard’ Brexit on derivatives markets.

FESE Response To The ESMA Consultation On ‘Guidelines On Risk Factors Under The Prospectus Regulation’

Date 09/10/2018

FESE Members welcome the opportunity to respond to ESMA’s Consultation Paper on the guidelines on risk factors under the new Prospectus Regulation.

The Importance Of International Co-Operation - Speech By Megan Butler, Executive Director Of Supervision - Investment, Wholesale And Specialists At The FCA, Delivered At The Pan Asian Regulatory Summit 2018, Hong Kong

Date 09/10/2018

Highlights:

• It is imperative that we don’t slip into a model of fragmented regulation, with competing philosophies and regulatory agendas.
• The best option for promoting economic security is to build on the work that’s been done since the financial crisis to improve international engagement.
• The FCA and Securities and Futures Commission in Hong Kong reach an agreement on the mutual recognition of funds.
• Funds in Hong Kong will find it easier to market to UK customers if they can demonstrate broad equivalence, or equivalent outcomes to our own retail fund rules, with UK businesses having the same access to Hong Kong.

EBA Acknowledges Adoption Of Amended Supervisory Reporting Standards By The European Commission

Date 09/10/2018

The European Banking Authority (EBA) acknowledged today the adoption by the European Commission of the Implementing Act amending Regulation (EU) No 680/2014 (Implementing Technical Standards on Supervisory Reporting) with regard to the inclusion of prudent valuation into COREP as well as other amendments. The Implementing Act, which is based on the final draft ITS on supervisory reporting submitted by the EBA in April 2018, was adopted by the Commission on 9 October 2018 but its publication in the EU Official Journal is still pending. The amended requirements will apply as of 31 December 2018 (reporting framework v2.8).

Former U.S. Treasury Official And Compliance Executive Robert Werner Joins Sigma Ratings

Date 09/10/2018

Sigma Ratings Inc. announced today that Robert "Bob" Werner, former U.S. Department of Treasury official and global compliance executive, has joined Sigma Ratings as a senior advisor.

CCRIF To Make 1st Payout Of The 2018/19 Policy Year To Barbados

Date 09/10/2018

CCRIF SPC (formerly the Caribbean Catastrophe Risk Insurance Facility) announced today that Barbados will receive a payout of US$5,813,299 (approximately BDS$11.6 million) on its Excess Rainfall policy due to  heavy rainfall that occurred during the passage of Tropical Storm Kirk.