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Tokyo Commodity Exchange: Periodic Review Of Top 10 Volume By Member

Date 31/07/2018

TOCOM publishes the “Top 10 Volume by Member” report, which contains information on the members holding 10 largest trade volumes, with the name of each member and the number of trade volume (the total of buy and sell transactions) for each commodity.
ASIC Updates Guidance For Funds Management Industry

Date 31/07/2018

ASIC has released a suite of seven new and updated regulatory guides to provide comprehensive guidance to the funds management industry. The guidance has been updated for changes arising from the Asia Region Funds Passport and brings all of ASIC's funds management policies up to date to help promote industry-wide consistency.
Statement Announcing SEC Staff Roundtable On The Proxy Process, SEC Chairman Jay Clayton

Date 30/07/2018

Shareholder engagement is a hallmark of our public capital markets, and the proxy process is a fundamental component of that engagement. In 2010, the Commission issued a concept release seeking public comment on whether the U.S. proxy system as a whole operates with the accuracy, reliability, transparency, accountability, and integrity that shareholders and companies should expect. In light of the many changes in our markets, technology, and how companies operate since then, SEC staff will host a roundtable this fall to hear from investors, issuers, and other market participants about whether the SEC’s proxy rules should be refined.
IMF Managing Director Christine Lagarde Appoints Rhoda Weeks-Brown As General Counsel Of The IMF And Director Of The Legal Department

Date 30/07/2018

Ms. Christine Lagarde, Managing Director of the International Monetary Fund (IMF), today announced her intention to appoint Rhoda Weeks-Brown as the IMF’s General Counsel and Director of the Legal Department. Ms. Weeks-Brown succeeds Mr. Sean Hagan whose retirement was announced previously. She is expected to begin her work in this capacity on September 17, 2018.
FINRA Requests Comment On Fintech Innovation In The Broker-Dealer Industry

Date 30/07/2018

FINRA today issued a Special Notice seeking comment on how it can support financial technology (fintech) innovation consistent with its mission of investor protection and market integrity. The announcement builds on an initiative FINRA launched last year to improve communication with the securities industry around fintech. In addition, FINRA requests comment on certain fintech areas, including the provision of data aggregation services, supervisory processes concerning the use of artificial intelligence, and the development of a taxonomy-based machine-readable rulebook. The Notice requests comment by October 12, 2018.

Euronext Appoints Chris Topple As CEO Of Euronext London

Date 30/07/2018

Euronext today announces that the Supervisory Board has approved unanimously the appointment of Chris Topple as CEO of Euronext London, Head of Global Sales and a member of the Managing Board of Euronext N.V., subject to all relevant shareholder and regulatory approval.
ESMA Updates The Questions And Answers On ESMA’S Temporary Product Intervention Measures

Date 30/07/2018

The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers on ESMA’s temporary product intervention measures on the marketing, distribution or sale of CFDs and binary options to retail clients based on Article 40 of Regulation (EU) No 600/2014 (the Markets in Financial Instruments Regulation, MiFIR).
CFTC Orders R.J. O’Brien & Associates LLC To Pay A $600,000 Civil Monetary Penalty For Supervisory Failures And Violation Of A Prior Commission Order

Date 30/07/2018

The Commodity Futures Trading Commission (CFTC or Commission) today issued an Order filing and simultaneously settling charges against R.J. O’Brien & Associates LLC (RJO) of Chicago, Illinois, for failure to diligently supervise its employees’ handling of customer accounts and for violating the terms of a prior Commission Order. At all relevant times, RJO was registered with the Commission as a Futures Commission Merchant.
Proposal To Change Finansinspektionenʼs Regulations (FFFS 2014:33) Regarding The Countercyclical Buffer Rate - Countercyclical Buffer Proposals For New Regulatory Code News Financial Stability Markets Bank

Date 30/07/2018

Finansinspektionen proposes to raise the countercyclical buffer rate to 2,5 percent. The rate is currently at 2 percent. The change will be effective from the 19 September 2019.
OCC Financial Safeguards Framework Approved By SEC

Date 30/07/2018

OCC, the world's largest equity derivatives clearing organization, today announced that the U.S. Securities and Exchange Commission approved the company's proposed Financial Safeguards Framework, which impacts how OCC sizes its Clearing Fund and allocates contributions to the Clearing Fund from OCC's clearing members. OCC plans to implement the FSF starting on September 4.