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Japan Financial Services Agency: Update On Progress Toward Further Efficiency And Transparency In The Screening Procedures For Licensing And Registration Of Financial Businesses

Date 27/10/2020

Since the 2016 fiscal year, the Financial Services Agency (FSA) has indicated its policy direction to “execute proper progress management for registration/licensing procedures through listing for greater efficiency and transparency of financial regulation,” and has announced its action plan and specific initiatives.*
*https://www.fsa.go.jp/en/news/2017/20170210-1.html
  https://www.fsa.go.jp/en/news/2017/20171107.html
  https://www.fsa.go.jp/en/news/2018/20180604.html
  https://www.fsa.go.jp/en/news/2019/20190927.html (FSA website)

InvestHK Unveils Headline Speakers And Event Agenda For Hong Kong Fintech Week 2020 - Asia’s Annual Global Fintech Event - 350+ Global Speakers, 25,000+ Participants From Over 70 Economies Are Expected To Attend This Year’s HKFW 2020, Which Will Be Taking Place Virtually Next Week

Date 27/10/2020

Hong Kong FinTech Week 2020 (HKFW) will take place virtually next week on November 2 – 6. Today, Invest Hong Kong (InvestHK) is delighted to announce a powerful line-up of headline speakers, along with the agenda for the week-long event, available here.

Senate Economics Legislation Committee – Budget Estimates: Opening Statement By Karen Chester, ASIC Acting Chair, At The Senate Economics Legislation Committee – Budget Estimates, 27 October 2020

Date 27/10/2020

Thank you Mr Chairman, and good afternoon Committee members. I do have a brief opening statement and then we would be happy to take your questions.
SIFMA Comments On The Department Of Labor Proposed Rulemaking On Independent Contractor Status

Date 26/10/2020

SIFMA submitted a comment letter today on the Department of Labor’s notice of proposed rulemaking to revise its interpretation of independent contractor status under the Fair Labor Standards Act. The proposed rule would replace the existing six-factor “economic realities” test with a similar but streamlined test that ultimately answers whether a worker is in business for themselves or is economically dependent on the employer for work.
NYSE Group Consolidated Short Interest Report

Date 26/10/2020

NYSE today reported short interest as of the close of business on the settlement date of October 15, 2020

Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date October 15, 2020

Date 26/10/2020

At the end of the settlement date of October 15, 2020, short interest in 2,517 Nasdaq Global MarketSM securities totaled 8,261,327,139 shares compared with 8,379,625,495 shares in 2,499 Global Market issues reported for the prior settlement date of September 30, 2020. The mid-August short interest represents 3.17 days compared with 2.83 days for the prior reporting period.
CFTC To Hold An Open Commission Meeting On November 2

Date 26/10/2020

Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the CFTC will hold an open meeting on Monday, November 2, 2020 at 9:30 a.m. (EST). The meeting will be held virtually in accordance with the agency’s implementation of social distancing due to the COVID-19 (coronavirus) pandemic.
Statement At The SEC’s Staff Roundtable On Regulation Best Interest And Form CRS, SEC Chairman Jay Clayton, Oct. 26, 2020

Date 26/10/2020

Good afternoon and welcome to the SEC’s Staff Roundtable on Regulation Best Interest and Form CRS.[1] We hope that this event provides useful information to broker-dealers and investment advisers in complying with these key regulatory enhancements. Staff from the Commission’s Division of Trading and Markets, Division of Investment Management and Office of Compliance Inspections and Examinations, together with staff from FINRA, will present some insights and feedback as we approach the four-month anniversary of the June 30 Reg BI and Form CRS compliance date.
SIFMA Statement On Successful Completion Of Industry-Wide Business Continuity Test

Date 26/10/2020

SIFMA today issued the following statement from SIFMA president and CEO Kenneth E. Bentsen, Jr. on the successful completion of the industry-wide test:

“On October 24, SIFMA led a successful business continuity test. This test is a critical exercise which highlights our industry’s ability to operate through a significant emergency using backup sites, recovery facilities and backup communications capabilities across the industry. The test combined large scale connectivity testing with the annual test program mandated by Regulation SCI."
Proposed Rule Change To Amend The FINRA Codes Of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria And Certain Arbitration Fees

Date 26/10/2020

Please refer to the following for details regarding the proposed rule change to the FINRA Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to increase arbitrator chairperson honoraria and increase certain filing and hearing session fees.