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Canadian Securities Regulators Seek Comments On Reducing Regulatory Burden For Non-Investment Fund Reporting Issuers

Date 06/04/2017

The Canadian Securities Administrators (CSA) today published CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers (Consultation Paper), which seeks comments on potential options for reducing regulatory burden for non-investment fund reporting issuers in the public markets.
Consolidated Audit Trail Industry Webcast

Date 06/04/2017

On Thursday, April 13, 2017 4:15 pm (ET) the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail Industry Webcast. Representatives from the CAT NMS, LLC Operating Committee, and representatives from the CAT Plan Processor, Thesys Technologies, will present an update on the progress of the Consolidated Audit Trail. The discussion topics outlined below will provide industry members insight to the CAT program and several technical topics.
Federal Court Orders Relief Defendants Westward International Ltd. And Coucarin Holdings Ltd. To Disgorge Ill-Gotten Funds Totaling More Than $1.77 Million In CFTC Binary Options Fraud Action

Date 06/04/2017

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge James I. Cohn of the U.S. District Court for the Southern District of Florida entered final default judgments against Relief Defendants Westward International Ltd. (Westward) and Coucarin Holdings Ltd. (Coucarin), both of Deerfield Beach, Florida. The Default Judgment Orders, both entered on March 23, 2017, require Westward and Coucarin to disgorge ill-gotten client funds in the amounts of $211,160 and $1,565,480, respectively.
BM&FBOVESPA: Central Counterparty Qualification Process

Date 06/04/2017

On March 29, 2017, the European Securities and Markets Authority (ESMA) recognized the BM&FBOVESPA Clearinghouses in the condition of a third-country central counterparty (TC CCP) in relation to the European Union. The recognition entails the definitive classification of the BM&FBOVESPA Clearinghouses as qualifying central counterparties (QCCP).
ESMA Issues Final Guidelines Regarding Circuit Breakers Under MiFID II

Date 06/04/2017

The European Securities and Markets Authority (ESMA) has issued today the final report on the Guidelines regarding the calibration of circuit breakers and the publication of the trading halts under the Markets in Financial Instruments Directive (MiFID II).

Bats Welcomes Two New PowerShares Funds To The Bats ETF Marketplace - 30 Issuers, 161 Funds Now Listed On Bats In The U.S.

Date 06/04/2017

Bats, a CBOE Holdings, Inc. company, and a leading market for exchange-traded fund (ETF) trading globally, today welcomed two new PowerShares ETFs to the Bats ETF Marketplace.
ESMA Publishes Updated AIFMD And UCITS Q&As

Date 06/04/2017

The European Securities and Markets Authority (ESMA) has published updated questions and answers documents (Q&A) on the application of the Alternative Investment Fund Managers Directive (AIFMD) and the Undertakings for the Collective Investment in Transferable Securities Directive (UCITS).
European Parliament: Red Lines On Brexit Negotiations

Date 06/04/2017

An overwhelming majority of the house (516 votes in favour, 133 against, with 50 abstentions) adopted a resolution officially laying down the European Parliament’s key principles and conditions for its approval of the UK's withdrawal agreement. Any such agreement at the end of UK-EU negotiations will need to win the approval of the European Parliament.
Bats Welcomes New Cambria Fund To The Bats ETF Marketplace - 30 Issuers, 161 Funds Now Listed On Bats In The U.S.

Date 06/04/2017

Bats, a CBOE Holdings, Inc. company, and a leading market for exchange-traded fund (ETF) trading globally, today welcomed a new Cambria fund to the Bats ETF Marketplace.
VPS Combining Its Fund And Asset Management Services Into A Subsidiary Company

Date 06/04/2017

VPS is combining its Fund Services business area with its subsidiary company Evolution. Its objective is to set up a combined unit that will create growth by delivering sought-after services to fund and asset management companies more quickly and efficiently than VPS and Evolution can achieve independently.