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SEC To Hold Roundtable On Proxy Voting

Date 27/01/2015

The Securities and Exchange Commission today announced that it will host a roundtable on February 19 to explore ways to improve the proxy voting process. The roundtable, which will be held at the SEC’s Washington, D.C. headquarters, will focus on universal proxy ballots and retail participation in the proxy process.
Signals Key Surveillance And Exam Priorities For Coming Year - IIROC Issues 2014-2015 Consolidated Compliance Report

Date 27/01/2015

The Investment Industry Regulatory Organization of Canada (IIROC) today published its Annual Consolidated Compliance Report outlining its key examination and surveillance priorities for 2015, as well as key compliance findings from 2014.
Perpetual Corporate Trust Joins Calastone’s Global Transaction Network

Date 27/01/2015

Calastone, the global transaction network for the managed fund industry, is pleased to announce Perpetual Corporate Trust is now live on the global Calastone network.
Securities Act (Alberta) Investigative Provisions Constitutional

Date 27/01/2015

Court of Queen's Bench Justice C.S. Anderson has ruled that Securities Act (Alberta) provisions allowing the Alberta Securities Commission (ASC) to compel information during a regulatory investigation and provide it to foreign agencies do not violate the Canadian Charter of Rights and Freedoms.
MIAX Options Exchange: Notice Of A Potential Execution Issue After Early Termination Of A PRIME™ Auction In Limited Circumstances

Date 27/01/2015

Please be advised that MIAX has identified a technical issue related to behavior at the conclusion of the Price Improvement Mechanism (“PRIME™”) auction that has the potential to cause an improper execution following a PRIME™ auction. PRIME™ orders and responses are traded properly in all cases and are not affected by this issue.

Moscow Exchange: Risk Parameters Change For Non-Principal Futures

Date 27/01/2015

As per p.8 of Principal and non-principal futures listing Methodology (approved by NCC Management Board 29 May 2014) on 01/27/2015, 19-00 (MSK) Xi parameter for non-principal futures were changed:
MEPs To Discuss Investor Protection And Regulatory Aspects Of TTIP

Date 27/01/2015

Investor protection, including investor-to-state disputes, and regulatory aspects in the forthcoming Transatlantic Trade and Investment Partnership (TTIP) will be discussed on Tuesday, at a joint hearing with the trade and legal affairs committees.
ESMA Issues Tender For Graphic Design And Publication Services - 4Y Contract

Date 27/01/2015

The European Securities and Markets Authority (ESMA) has today issued an open call for tender for graphic design and publications. ESMA seeks a service provider for the production of its annual reports, other other publications and general grahpic design services.
SEC Charges Oppenheimer With Securities Law Violations Related To Improper Penny Stock Sales

Date 27/01/2015

The Securities and Exchange Commission today charged Oppenheimer & Co. with violating federal securities laws while improperly selling penny stocks in unregistered offerings on behalf of customers.
Genscape: Planned 24 Hour Strike Might Lead To Power Price Spikes In France

Date 27/01/2015

Yesterday, 26 January, France's main utility EDF warned of a 24-hour strike starting at 20:00 CET this Wednesday. The anticipated electricity supply cut from this would likely put upward pressure on already elevated prices, brought on by the colder temperatures experienced last week.