News Centre

Court Of Appeal Upholds Ontario Securities Commission Panel Decisions In Insider Tipping And Trading Case

Date 25/01/2018

On January 25, 2018, the Ontario Court of Appeal upheld the Ontario Securities Commission (OSC’s) Reasons for Decision on the Merits dated March 24, 2015 and its Reasons for Decision on Sanctions and Costs dated August 24, 2015 with respect to Howard Miller and Francis Cheng. The Court’s decision was the first time it considered the interpretation and application of the definition of a “person in a special relationship with an issuer” in relation to insider trading and tipping.

Date 25/01/2018

WHAT:	Commissioner Brian Quintenz will give the keynote address at the Commodity Markets Council State of the Industry 2018.
WHEN:	Monday, January 29, 2018 9:30 a.m. - 10:15 a.m.
WHERE:	The Miami Beach Edition Hotel 2901 Collins Avenue Miami, Florida 33140

FTSE Mondo Visione Exchanges Index Breaks New Record And Reaches 52,851.06 Points

Date 25/01/2018

The FTSE Mondo Visione Exchanges Index rose to 52,851.06 at Wednesday’s close from Tuesday’s 52,260.49. The new record closing high represents an increase of over 10% since the beginning of 2018.
MIAX Options: Adoption Of Chapter XVIII, Index Options And Amendment Of Certain Existing Rules Relating To Position And Exercise Limits For Cash-Settled Index Options

Date 25/01/2018

MIAX Options has received approval from the Securities and Exchange Commission to adopt rules relating to the listing and trading of cash-settled index options (Chapter XVIII - Index Options), as well as to amend certain existing MIAX Options rules relating to position and exercise limits for cash-settled index options.

Date 25/01/2018

WHAT:	Chairman J. Christopher Giancarlo will give the keynote address at DerivCon 2018: SEFCON Transformed, Pivoting from Adoption to Adaptation.
WHEN:	Thursday, February 1, 2018 9:30 a.m. – 10:00 a.m.
WHERE:	Convene 117 West 46th Street New York, NY 10036

SEC Invites Regulated Entities To Voluntarily Submit Self-Assessments Of Diversity Policies And Practices

Date 25/01/2018

The Securities and Exchange Commission (SEC) Office of Minority and Women Inclusion (OMWI) today introduced its Diversity Assessment Report for Entities Regulated by the SEC.
CFTC And SEC Chairmen In Joint Op-Ed: In Support Of Market-Enhancing Innovation, We Will Continue To Bring Transparency And Integrity To Markets

Date 25/01/2018

CFTC Chairman J. Christopher Giancarlo and SEC Chairman Jay Clayton wrote an op-ed for the Wall Street Journal today about virtual currencies and the role both regulators have in ensuring that market integrity and transparency are part of the growth of these important innovations in order to protect all market participants, including retail investors:
OTC Markets Group Adds BMO InvestorLine As Distributor Of Real-Time Level 1+ Quotes

Date 25/01/2018

OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 10,000 U.S. and global securities, today announced BMO InvestorLine, a leading broker in Canada, as a new distributor of OTC Markets' real-time Level 1+ Quotes.

Date 25/01/2018

WHAT:	Commissioner Brian Quintenz will give the keynote address at DerivCon 2018: SEFCON Transformed, Pivoting from Adoption to Adaptation.
WHEN:	Thursday, February 1, 2018 11:15 a.m. – 11:35 a.m.
WHERE:	Convene 117 West 46th Street New York, NY 10036

Moscow Exchange Will Adhere To The FX Global Code

Date 25/01/2018

Moscow Exchange announces its intention to adhere to the principles of the FX Global Code. The Code was developed through a partnership between central banks and market participants from 16 jurisdictions around the globe. The Code represents a set of principles generally recognised as good practice in the wholesale foreign exchange market. It covers six major areas – Ethics, Governance, Execution, Information Sharing, Risk Management and Compliance –as well as Confirmation and Settlement Processes.