News Centre

Strategic Initiatives To Improve Regulator's Effectiveness - IIROC 2018 Priorities Position Public Interest Regulator For The Future

Date 01/06/2017

The Investment Industry Regulatory Organization of Canada (IIROC) today published its 2018 Priorities, outlining 16 key areas of focus where the public interest regulator will take action to better protect investors and promote healthy capital markets in Canada.

OCC Cleared Contract Volume Up 19 Percent In May

Date 01/06/2017

• Securities Lending Activity Up 26 Percent in May and 19 Percent Year-to-Date
• Cleared Futures Volume Up Record 61 Percent in May
• Index Options Volume Up 21 percent in May

FINRA Bars Former Morgan Stanley Registered Representative For Using Nominee Accounts To Conceal $190 Million In Venezuelan Bond Trades

Date 01/06/2017

The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for concealing approximately $190 million in Venezuelan bond trades from the firm, which had restricted such trading due to the regulatory, anti-money laundering and reputational risks it posed. Instead, Bocchino continued to trade in Venezuelan bonds on behalf of his customers, but hid the trades from the firm by using several nominee accounts in the names of well-known U.S. financial institutions, and directing the trades through those accounts. Unbeknownst to these financial institutions, Bocchino executed approximately 300 Venezuelan bond trades in the accounts opened in their names. To further conceal his customers’ trading, Bocchino created hundreds of firm documents, including new account forms and trade tickets, that contained false information.

ESMA Consults On Measures For CCPs To Manage Conflicts Of Interest

Date 01/06/2017

The European Securities and Markets Authority (ESMA) opened today a public consultation on future guidelines, which further clarify provisions stemming from the European Market Infrastructure Regulation (EMIR).

FTSE Bursa Malaysia KLCI June Semi-Annual Review

Date 01/06/2017

• No changes to the constituents of the FTSE Bursa Malaysia KLCI
• Six new constituents to be added to FTSE Bursa Malaysia Mid 70 Index
• Two new constituents to be added to FTSE Bursa Malaysia Hijrah Shariah Index

ESMA Issues Standards On Regulatory Cooperation Regarding Market Abuse

Date 01/06/2017

The European Securities and Markets Authority (ESMA) has issued today final Implementing Technical Standards (ITS) regarding the application of the Market Abuse Regulation (MAR).

Bats ETF Implied Liquidity Feed Now Available On Money.Net

Date 01/06/2017

Bats, a CBOE Holdings, Inc. company, and a leading global operator of exchanges and services for financial markets, today announced that its Bats ETF Implied Liquidity Feed is now available for use on Money.Net platforms. Money.Net, the innovative new financial information provider, is the first platform distribution partner to offer this new product.

Nasdaq To Support VNG Corporation In Exploring A U.S. Listing - VNG Is The first Vietnamese Tech Startup To Explore A U.S. Listing, Signifying The Strong Growth Of Entrepreneurship In South East Asia

Date 01/06/2017

Nasdaq and VNG Corporation signed a memorandum of understanding to explore VNG’s initial public offering (IPO) opportunity on the Nasdaq Stock Market. VNG Corporation is Vietnam’s leader in value added services, developing and publishing online content, providing mobile platforms and payment systems. Under the agreement, Nasdaq will work closely with VNG to prepare for its listing on Nasdaq and support VNG’s access to the U.S. capital markets. Vietnamese Prime Minister Nguyen Xuan Phuc was also present at the signing ceremony as part of his first visit to the U.S.

Key Figures SIX Swiss Exchange: May 2017

Date 01/06/2017

• Marked rise in trading activity across all segments: trading turnover up by 33.9% overall and 29.9% more deals month-on-month
• Over the first five months of 2017, trading turnover was 5.8% higher year-on-year at CHF 601.9 billion
• Average trading turnover per day of CHF 5.8 billion in the year to date

Bats Welcomes New Amplify ETFs Fund To The Bats ETF Marketplace - 34 Issuers, 176 Funds Now Listed On Bats In The U.S.

Date 01/06/2017

Bats, a CBOE Holdings, Inc. company, and a leading market for exchange-traded product (ETP) trading globally, today welcomed a new Amplify ETFs fund to the Bats ETF Marketplace.