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Bats Welcomes QuantX Funds As A New Issuer To The Bats ETF Marketplace - 25 Issuers, 149 Funds Now Listed On Bats In The U.S.

Date 26/01/2017

Bats Global Markets, Inc. (Bats: BATS), the #1 U.S. market for exchange-traded fund (ETF) trading, today welcomed QuantX Funds as a new issuer to the Bats ETF Marketplace with the launch of a suite of risk management focused funds:
Canadian Securities Regulators To Lower Trading Fee Cap For Non-Inter-Listed Securities

Date 26/01/2017

Canadian Securities Administrators (CSA) today published final amendments to National Instrument 23-101 Trading Rules, which lower the cap on active trading fees for securities that are listed on a Canadian exchange, but not listed on a U.S. exchange (non-inter-listed securities).
New Thomson Reuters Compliance Solution Helps Organizations Manage Regulatory Change - Robust Compliance Dashboard And Enhanced Mapping Improve Ability To Mitigate Risk In Volatile Environments

Date 26/01/2017

Organizations facing regulatory overload can now benefit from powerful new tools to help them better manage their compliance workflow as Thomson Reuters introduces Regulatory Change Management (RCM), its new end-to-end compliance solution.
Federal Reserve Issues Progress Report On Efforts To Improve The U.S. Payment System

Date 26/01/2017

The Federal Reserve on Thursday released a progress report outlining accomplishments and anticipated steps moving forward related to the ongoing initiatives to enhance the speed, efficiency and security of the U.S. payment system.
Keynote Speech By Andrew Bailey, Chief Executive Of The UK Financial Conduct Authority, At Economic Council Financial Markets Policy Conference, Berlin, 26 January 2017, Free Trade In Financial Services And Global Regulatory Standards: Friends Not Rivals

Date 26/01/2017

It is a great pleasure to be in Berlin and a very important time to be considering global regulation. It is also a sobering thought that this year marks the tenth anniversary of the start of the global financial crisis. Such a phrase is quite often used to convey a sense that time passes quickly, or appears to do so, when we are enjoying ourselves. That’s not the context for its use in relation to the financial crisis. Rather, I think, it is the opposite in meaning; that ten years on we are still dealing with the consequences and legacy of the crisis, and we are still therefore tested on whether the set of public policies being deployed are fit for the purpose.

SEC: Citigroup Paying $18 Million For Overbilling Clients

Date 26/01/2017

The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay $18.3 million to settle charges that it overbilled investment advisory clients and misplaced client contracts.
CFTC Orders Chicago-based E*TRADE Securities LLC And E*TRADE Clearing LLC To Pay A $280,000 Civil Monetary Penalty For Failure To Retain Required Records And Failure To Diligently Supervise

Date 26/01/2017

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), an Introducing Broker, and E*TRADE Clearing LLC (E*TRADE Clearing), a Futures Commission Merchant, for non-compliance with applicable record-keeping rules and failure to diligently supervise. Both entities have their headquarters in Chicago, Illinois.The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), an Introducing Broker, and E*TRADE Clearing LLC (E*TRADE Clearing), a Futures Commission Merchant, for non-compliance with applicable record-keeping rules and failure to diligently supervise. Both entities have their headquarters in Chicago, Illinois.The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), an Introducing Broker, and E*TRADE Clearing LLC (E*TRADE Clearing), a Futures Commission Merchant, for non-compliance with applicable record-keeping rules and failure to diligently supervise. Both entities have their headquarters in Chicago, Illinois.The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), an Introducing Broker, and E*TRADE Clearing LLC (E*TRADE Clearing), a Futures Commission Merchant, for non-compliance with applicable record-keeping rules and failure to diligently supervise. Both entities have their headquarters in Chicago, Illinois.
SEC Charges Two Former Och-Ziff Executives With FCPA Violations

Date 26/01/2017

The Securities and Exchange Commission today charged two former executives at Och-Ziff Capital Management Group with being the driving forces behind a far-reaching bribery scheme that violated the Foreign Corrupt Practices Act (FCPA).
SEC’s Short Interest Disclosure Timetable Hits The Sweet Spot For Market Efficiency, Says Oxford Academic

Date 26/01/2017

Requiring short-sellers to disclose their positions more often is a better policy approach than imposing restrictions and bans, research from Saïd Business School, University of Oxford, has found. But too frequent disclosure could have a negative effect on market efficiency.
Saudi Stock Exchange -Tadawul - Announces The Enhanced Framework Of Tradable Rights

Date 26/01/2017

The Saudi Stock Exchange “Tadawul” announces that the enhanced framework for trading and subscribing to Rights of listed companies shall be applied in the next batch of offerings to increase capital through rights issue.