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ASIC Publishes Sixth Market Supervision Report

Date 21/08/2013

ASIC today published its sixth report on the supervision of Australian financial markets and market participants.
SGX Partners Singapore Management University To Enhance Investment Knowledge Of Students And Professionals

Date 21/08/2013

Singapore Exchange (SGX) and Singapore Management University (SMU) are partnering to enhance the investment knowledge of SMU business students, investment professionals and the public. Focusing on listed securities, the collaboration will benefit all undergraduate and postgraduate students taking finance-related programmes at SMU.
Jane Jarcho Named Head Of SEC’s Investment Adviser/Investment Company Examination Program

Date 20/08/2013

The Securities and Exchange Commission today announced that Jane E. Jarcho has been named as the National Associate Director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections and Examinations (OCIE). She will oversee a staff of approximately 450 lawyers, accountants, and examiners responsible for inspections of U.S.-registered investment advisers and investment companies.
ISDA 2013 EMIR Portfolio Reconciliation, Dispute Resolution And Disclosure Standard Amendment Agreement

Date 20/08/2013

The ISDA Standard Amendment Agreement – 2013 EMIR Portfolio Reconciliation, Dispute Resolution and Disclosure Form has been posted on the ISDA EMIR page.
ESMA Publishes Opinion On Draft Regulatory Technical Standards On Types Of AIFMs

Date 20/08/2013

The European Securities and Markets Authority (ESMA) submitted its formal opinion to the European Commission on 13 August, in response to the letter received on 8 July, on draft regulatory technical standards under Article 4(4) of Directive 2011/61/EU. The opinion was issued in accordance with Article 10(1) sixth subparagraph of Regulation (EU) No 1095/2010.

TMX Quantum XA Implementation On TMX Select Complete

Date 20/08/2013

TMX Group today announced the successful implementation of its new high performance trading engine, TMX Quantum XA™, on TMX Select. The final group of symbols commenced trading on the new technology at the opening of the market yesterday, completing the phased migration.
FINRA Warns Investors Of Marijuana Stock Scams

Date 20/08/2013

The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Marijuana Stock Scams to warn investors about potential related scams. Medical marijuana is legal in almost 20 states, and recreational use of the drug was recently legalized in two states. As a result, the cannabis business has been getting a lot of attention – including the attention of scammers. Like many investment scams, pitches for marijuana stocks may arrive in a variety of ways – from faxes to email or text message invitations, to webinars, infomercials, tweets or blog posts.
SEC Charges Former Oppenheimer Private Equity Fund Manager With Misleading Investors About Valuation And Performance

Date 20/08/2013

The Securities and Exchange Commission today charged a former portfolio manager at Oppenheimer & Co. with misleading investors about the valuation and performance of a fund consisting of other private equity funds.
Moscow Exchange: Updated Admission Rules And Certain Trading Rules Provisions To Take Effect

Date 20/08/2013

Moscow Exchange hereby informs you that from 28 August 2013 a new version of the MICEX Stock Exchange Admission Rules takes effect.
ISDA Outlines Approach On Cross-Border Issues:Principles Address Inter-Jurisdictional Recognition Of Derivatives Regulation

Date 20/08/2013

The International Swaps and Derivatives Association, Inc. (ISDA) today announced that it has outlined a set of principles designed to help achieve the widely held goal of a more harmonized framework of international derivatives regulations. The principles, which incorporate views expressed by international regulators and market participants, are intended to guide the development of frameworks and processes for inter-jurisdictional recognition of derivatives regulation through a principles-based substituted compliance methodology.