Mondo Visione Worldwide Financial Markets Intelligence

FTSE Mondo Visione Exchanges Index:

News Centre

  • SEC: Investor Testing Of The Proposed Relationship Summary For Investment Advisers And Broker-Dealers

    Date 07/11/2018

    In connection with our ongoing efforts to help address investor confusion about the nature of their relationships with investment advisers and broker-dealers, the SEC’s Office of the Investor Advocate today made available a report on investor testing conducted by the RAND Corporation.  The investor testing gathered feedback on a sample Relationship Summary issued in April 2018 as part of a package of proposed rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers. The report is available for review and comment on the SEC’s website.

  • CFTC Commissioner Dawn D. Stump Announces Staff Appointments

    Date 07/11/2018

    U.S. Commodity Futures Trading Commission (CFTC) Commissioner Dawn D. Stump announced that Dan Bucsa will serve as Chief of Staff and Senior Policy Advisor and Elizabeth Mastrogiacomo will serve as Senior Counsel.

  • Carbon Fund Lists On NZX In New Zealand First

    Date 07/11/2018

    In a New Zealand first, NZX welcomes the inaugural Carbon Fund (CO2) to be listed on the Main Board today by Salt Funds Management.

  • CFTC Swaps Report Update

    Date 07/11/2018

    CFTC's Weekly Swaps Report has been updated, and is now available.

  • Remarks To The SEC Investor Advisory Committee, SEC Chairman Jay Clayton, Nov. 7, 2018

    Date 07/11/2018

    Thank you, Anne (Sheehan), and good afternoon everyone.

    I would like to thank the Committee for convening this meeting to discuss the Commission’s work to enhance retail investor protection and retail investor decision making by bringing the legal requirements and mandated disclosures of financial professionals in line with retail investor expectations – specifically, our proposed Regulation Best Interest and our proposed Customer Relationship Summary or CRS.