News Centre

encompass corporation Appoints KYC Technology Industry Veteran, Ed Lloyd, As Executive Vice President, Global Sales, To Drive Continued Sales Growth

Date 06/07/2018

encompass corporation (“encompass”), a fast-growing global provider of robotically automated Know Your Customer (KYC) solutions, today announced the appointment of Ed Lloyd, a long-term veteran of the compliance technology industry, to the position of Executive Vice President, Global Sales.

Noble Vici Selects Neo & Partners Global’s TRADING-ATRIUM To Forge Ahead Building its FinTech In Big Data And Next-Gen Blockchain Ecosystem Platform In Singapore.

Date 06/07/2018

Neo & Partners Global, Asia’s and Singapore’s first-of-of-its-kind Entrepreneurial TRADING-ATRIUM (Hub) for Fund Management Companies, Proprietary Trading Firms, Family Offices, Commodity Trading Advisors and FinTech Firms; Big Data and Blockchain, announced today that it has successfully commissioned Noble Vici into its TRADING-ATRIUM.

New Prices For ASIC Regulatory Services

Date 06/07/2018

The fees ASIC charges for specific regulatory activities have changed to reflect the actual cost to ASIC associated with the work. In most cases this has resulted in a fee increase.

SIX To Launch Full End-To-End And Fully Integrated Digital Asset Trading, Settlement And Custody Service

Date 06/07/2018

Switzerland’s stock exchange – owned and managed by SIX – today announced that it is building a fully integrated trading, settlement and custody infrastructure for digital assets. SIX is regulated as an operator of Financial Market Infrastructure (FMI) by Swiss Authorities, FINMA and the Swiss National Bank, and intends that the planned ‘digital asset ecosystem’ – SIX Digital Exchange (“SDX”) – will enjoy the same standard of oversight and regulation.

ASIC Accepts Court Enforceable Undertakings From CBA And ANZ Over Superannuation Product Distribution

Date 06/07/2018

ASIC has accepted court enforceable undertakings from the Commonwealth Bank of Australia and Australia and New Zealand Banking Group under which the banks have agreed to change the way they distribute superannuation products to their customers.

Cboe Global Markets Reports June 2018 Trading Volume

Date 05/07/2018

• Year-to-date ADV across options, futures, U.S. and European equities and global FX up over
• 2017 June ADV in global FX up 35% over June 2017 ADV
• June ADV in futures up 11% over May 2018 AD

CFTC Swaps Report Update

Date 05/07/2018

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

FINRA Launches Enhanced Public Records Review - New FINRA360 Initiative Improves Data Quality For Regulators And Investors, And Lowers Firm Compliance Risks And Costs

Date 05/07/2018

FINRA is launching an enhanced disclosure review process for public financial records of individuals seeking registration with a brokerage firm. Beginning on July 9, FINRA will perform a public records review within 15 calendar days after a firm applies to register an individual with FINRA. The review will enhance the quality of information about individual brokers available to investors and reduce costs for the industry, particularly small firms. It is the latest in a series of actions under FINRA360, FINRA’s comprehensive organizational improvement initiative.

Ontario Securities Commission Publishes 2018-2019 Statement Of Priorities

Date 05/07/2018

The Ontario Securities Commission (OSC) today published its 2018-2019 Statement of Priorities, which sets out the 15 priority areas where the OSC intends to focus resources and actions over the coming fiscal year, as well as the expected outcomes.   

TMX Group Consolidated Trading Statistics – June 2018

Date 05/07/2018

TMX Group Limited today announced June 2018 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange (Alpha) and Montréal Exchange (MX).