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  • Remarks Of CFTC Commissioner Brian Quintenz At The Institute Of International Bankers Membership Luncheon

    Date 21/06/2018

    Introduction

    Thank you for that very kind introduction.  I am honored to join you today at the Institute of International Bankers Membership Luncheon.  Let me congratulate Sally Miller on her distinguished tenure with this organization as well as congratulate Briget Polichene on taking the reins.  I look forward to continuing to work with you on important issues facing the global financial markets.  Before I begin, let me quickly say that the views contained in this speech are my own and do not represent the views of the Commission.

  • The Chancellor Of The Exchequer, Philip Hammond's Speech At The Confederation Of British Industry (CBI) Annual Dinner 2018

    Date 21/06/2018

    Thank you, Paul.

    And let me join you in commemorating those who lost their lives and those who were injured during the appalling attack in Manchester, a year ago today…

    …our thoughts this evening are with the families and friends of those affected.

    As ever it’s a pleasure to speak to you tonight.

  • Investment Industry Regulatory Organization Of Canada Welcomes Canadian Securities Administrators' Client Focused Reforms

    Date 21/06/2018

    The Investment Industry Regulatory Organization of Canada (IIROC) today welcomed the Canadian Securities Administrators' (CSA) proposed amendments to National Instrument 31-103 and Companion Policy 31-103CP, which will fundamentally enhance the client registrant relationship.

    IIROC has worked collaboratively with the CSA in developing the client focused reforms in order to better align the interests of investment dealers, advisers and representatives with the interests of their clients, improve outcomes for clients and make clearer to clients the nature and the terms of their relationships with registered advisors.

    We appreciate the opportunity to participate in this important initiative with the CSA, with whom we share a commitment to require registrants to promote the best interests of clients and put clients' interests first.  It is important that we continue to work together toward harmonizing these requirements across regulatory platforms and setting a higher standard of conduct for all registrants.

    We believe that the proper management of conflicts of interest, and compensation-related conflicts in particular, which are among the issues dealt with in these reforms, is critical to improving public confidence in our capital markets and our financial system.

    IIROC is the national self-regulatory organization that oversees all investment dealers (close to 170 across Canada and more than 28,000 registrants) and their trading activity in Canada's debt and equity markets. IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian debt and equity marketplaces.

  • Canadian Securities Regulators Align To Publish Harmonized Response To Concerns With The Client-Registrant Relationship - CSA Publishes Reforms To Put Clients’ Interests First And Indicate Policy Decision On Embedded Commissions

    Date 21/06/2018

    The Canadian Securities Administrators (CSA) today published two notices concerning investor protection initiatives. The first requests public comment on detailed reforms (Client Focused Reforms) to obligations of registered firms and individuals (registrants). The second sets out the intended policy decision with respect to mutual fund embedded commissions. These initiatives aim to better align the interests of registrants and investors, improve investor outcomes, and raise the bar for registrant conduct.

  • The Swiss Stock Market Is Buzzing! In A Filmed Interview, Werner Bürki, Head Trading, Securities & Exchanges, SIX, Comments On The Positive Momentum Seen In 2018 So Far

    Date 21/06/2018

    The Swiss exchange – run by SIX – offers excellent trading conditions as well as premium products and services for all participants. How is the Swiss exchange doing in the first six months of 2018?

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