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Hong Kong's Securities And Futures Commission: Court Of First Instance Dismissed Application By Hong Kong Game Theory For Leave To Appeal To The Court Of Final Appeal

Date 18/08/2017

The Court of First Instance has dismissed the certification application by Hong Kong Game Theory Association Limited (Hong Kong Game Theory) and its sole director Mr Sze Ching Lok for the purpose of filing appeals to the Court of Final Appeal against their earlier conviction of carrying on unlicensed activities.
ETFGI Reports In Europe ETFs And ETPs Gathered A Record 74 Billion US Dollars In Net Inflows In First 7 Months Of 2017 Surpassing The 2016 Record Total

Date 18/08/2017

ETFGI, a leading independent research and consultancy firm on trends in the global ETF/ETP ecosystem, reported today that ETFs and ETPs listed in Europe gathered net inflows of US$10.16 Bn in July marking the 33rd month of consecutive inflows.
BISX Lists the Oil & Gas Opportunity Lending Fund Ltd.

Date 18/08/2017

The Bahamas International Securities Exchange (BISX) is pleased to announce that the Oil & Gas Opportunity Lending Fund Ltd. (the Fund) has successfully completed the BISX Mutual Fund Listing Process. As a result, the Fund’s shares have now been added to the roster of funds listed on the Exchange. The Oil & Gas Opportunity Lending Fund Ltd. is an open-ended mutual fund.
TMX Group Statement Regarding Regulatory Engagement

Date 17/08/2017

TMX Group, owner and operator of CDS, Canada's equities and fixed income clearing house, is engaged with the Canadian Securities Administrators (CSA), an umbrella organization of Canada's provincial and territorial securities regulators, regarding the clearing of securities of issuers with marijuana-related activities in the U.S. This is a complex matter which touches multiple aspects across our capital market system, and as such requires close examination and careful consideration.
Federal Court Orders Jeffrey Slemmer, Christian Dorrian, Adam Roth, And Their Florida-Based Companies To Pay Over $5.4 Million In Restitution And A Penalty In CFTC Precious Metals And Diamonds Anti-Fraud Action - Slemmer Enterprises, Dorrian Enterprises And Roth Investment Group All Part Of The Berkley Enterprise That Defrauded Customers

Date 17/08/2017

The Commodity Futures Trading Commission (CFTC) announced that Judge William P. Dimitrouleas of the U.S. District Court for the Southern District of Florida entered a Consent Order against Defendants Jeffrey Slemmer of Acton, Massachusetts, Christian Dorrianof Boynton Beach, Florida, Adam Roth of Boca Raton, Florida, and their former respective Florida companies Slemmer Enterprises LLC, Dorrian Enterprises, LLC, and Roth Investment Group LLC, finding that the defendants fraudulently solicited customers in connection with precious metals and diamonds transactions, misappropriated customer funds, and concealed their fraud with false account statements. The defendants executed the scheme using the business names Berkley Hard Asset Group, Berkley Hard Assets, and Berkley Rare Diamonds (the Berkley Enterprise).

Amazon Web Services And Nasdaq To Sponsor FIA Innovators Pavilion

Date 17/08/2017

FIA is pleased to announce that Amazon Web Services and Nasdaq have signed on as sponsors of FIA’s third annual Innovators Pavilion, a showcase for fintech startups that are offering forward-thinking solutions for the global derivatives markets.
Ontario Securities Commission Announces Agenda For Roundtable On Option Of Discontinuing Embedded Commissions

Date 17/08/2017

The Ontario Securities Commission (OSC) today announced the agenda and list of panellists for the upcoming roundtable to discuss Canadian Securities Administrators (CSA) Consultation Paper 81-408 Consultation on the Option of Discontinuing Embedded Commissions.
Register Now For MX’s 10th Annual Options Education Days!

Date 17/08/2017

Montréal Exchange (MX) today announced the fall schedule for their 2017 Options Education Days. Bringing together individual investors with varying levels of experience, these full-day training sessions are designed to equip investors with the knowledge and insights necessary to successfully navigate the options market.
Nasdaq's Boardvantage® To Expand Presence In Canada - Access To Ontario Data Centers Will Support Growing Client Base

Date 17/08/2017

Nasdaq Corporate Solutions, a business of Nasdaq Inc. (Nasdaq:NDAQ), announced plans for the expansion of its Boardvantage board portal and leadership collaboration software into Canada through access to two data centers in Ontario. When the regional data centers open in mid-September, Nasdaq Corporate Solutions will be able to offer Boardvantage clients the same benefit of a local Canadian presence that its Directors Desk® clients already receive. The new data centers will be more effective in serving Nasdaq's growing, Boardvantage client base in Canada. The Canadian data centers are audited against CSAE 3416 Type 2 standards, equivalent to SSAE 16 level II standards in the U.S.
CBOE Vest Technologies And The Options Industry Council (OIC) Offer Options Strategy Builders Tool On OIC Website

Date 17/08/2017

CBOE Vest Technologies, a software company enabling users to work with target outcome investment strategies, and the Options Industry Council (OIC), a provider of unbiased options education, are working together to educate investors and broaden the appeal of options with a new online tool, The Options Strategy Builders.