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ASIC Publishes 2015-16 Self Assessment Under Regulator Performance Framework

Date 27/01/2017

ASIC's 2015-16 self-assessment under the Regulator Performance Framework has been published today. The self-assessment report is now available on the ASIC website.
NZX Employee Share Plan - Team And Results

Date 26/01/2017

Following NZX’s announcement of 30 December 2016 in relation to the redemption of NZX employee restricted shares pursuant to the terms of the NZX Employee Share Plan – Team and Results (the Plan), please see the attached Senior Managers’ Relevant Interest Notice for Amanda Simpson (former NZX Chief Operating Officer).
SIFMA Executive Vice President Randy Snook Remarks At The 2017 Leaders And Experts Forum

Date 26/01/2017

Good morning. I’m Randy Snook, Executive Vice President, Business Policy and Practices at SIFMA. I’m pleased to welcome you to the “2017 Leaders & Experts Forum: Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data-Driven Age.”
CFTC General Counsel Jonathan L. Marcus To Depart Agency

Date 26/01/2017

U.S. Commodity Futures Trading Commission (CFTC or Commission) Acting Chairman J. Christopher Giancarlo today announced that General Counsel Jonathan L. Marcus will depart the agency. Mr. Marcus joined the agency in 2011 as Deputy General Counsel for Litigation, and was promoted to General Counsel in 2013. Acting Chairman Giancarlo also announced that Robert A. Schwartz, currently the Deputy General Counsel for Litigation and Adjudication, will become the Acting General Counsel.
Ontario Securities Commission Announces Fintech Advisory Committee Members

Date 26/01/2017

The Ontario Securities Commission (OSC) announced today the membership of its new Fintech Advisory Committee (FAC), which will advise OSC staff on developments in the fintech space as well as the unique challenges faced by fintech businesses in the securities industry.

Canadian Securities Regulators Publish Final Proxy Voting Protocols

Date 26/01/2017

The Canadian Securities Administrators (CSA) today published CSA Staff Notice 54-305 Meeting Vote Reconciliation Protocols, which outlines CSA staff expectations and guidance for improving the processes involved in the tabulation of proxy votes.
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.