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NZX Shareholder Metrics October 2019

Date 04/11/2019

Please see attached NZX shareholder metrics for October 2019.
SEC Chairman Clayton, PCAOB Chairman Duhnke, And Members of SEC Staff Meet With Auditing Firm Representatives To Discuss Audit Quality In Emerging Economies And Markets

Date 04/11/2019

The Securities and Exchange Commission today announced that SEC Chairman Jay Clayton, Public Company Accounting Oversight Board (PCAOB) Chairman William Duhnke, and members of the SEC staff met last week with senior representatives of the four largest global network auditing firms to discuss the audit quality and certain of the challenges faced in auditing public company operations in emerging markets, including China, the largest emerging market economy. The discussions emphasized the need for effective and consistent global firm oversight of member firms, including those operating in emerging markets. The discussions also focused on the design and implementation of audit procedures that are tailored to reflect changes in risk.
CFTC Charges Alabama Resident And His Company With Binary Options Fraud

Date 04/11/2019

The U.S. Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the Northern District of Alabama charging Aaron B. Butler and his company, Negus Capital Incorporated (NCI), both of Alabama, with fraudulent solicitation, misappropriation, and registration violations in connection with binary options trading.
Remarks To The SEC Fixed Income Market Structure Advisory Committee, SEC Chairman Jay Clayton, Nov. 4, 2019

Date 04/11/2019

Thank you, Michael [Heaney]. Good morning everyone. Thank you all for being here and for traveling to our offices in New York. Today’s agenda is full and important. You have assembled expert panels on (1) structured disclosures by municipal issuers, (2) rating agency compensation models, (3) index construction, (4) government securities trading platforms, and (5) the LIBOR transition. We also have updates from our Technology and Electronic Trading Subcommittee and the Corporate Bond Transparency Subcommittee.
B3 Announces New Edition Of Its Market Maker Program For Equities, BDRs And ETFs - The Program Will Be Extended Following Its Success In 2018, When The Daily Traded Volume Of Participating Assets Rose By 62%

Date 04/11/2019

Starting today, B3's equities, BDR and ETF markets will have new market makers. The initiative is part of B3's program focused on liquidity development and the performance of participating assets. This year, in addition to expanding eligible assets, the demand for market maker accreditation in the program has also increased with 13 new accredited institutions in the program, 5 of which are first-time participants. Altogether, 89 equities, 2 ETFs and 230 BDRs have been added, compared to 54 equities in 2018.

British Columbia Securities Commission Acts To Protect Customers Of Einstein Exchange Crypto-Asset Trading Platform

Date 04/11/2019

The British Columbia Securities Commission (BCSC) has taken action to protect customers of Einstein Exchange, a crypto-asset trading platform based in Vancouver.
SEC Charges Issuer And CEO With Violating Whistleblower Protection Laws To Silence Investor Complaints

Date 04/11/2019

The Securities and Exchange Commission today filed an amended complaint against online auction portal Collectors Café and its CEO Mykalai Kontilai to add allegations that they unlawfully sought to prohibit their investors from reporting misconduct to the SEC and other governmental agencies. The SEC previously charged Collectors Café and Kontilai with a fraudulent $23 million securities offering based on false statements to investors, and alleged that Kontilai misappropriated over $6 million of investor proceeds.
ACER Approves Amendments To The Harmonised Allocation Rules For Cross-Border Transmission In Electricity

Date 04/11/2019

The EU Agency for the Cooperation of Energy Regulators (ACER) published today its decision on amendments to the harmonised allocation rules for long-term cross-border transmission rights in electricity on the basis of the EU Regulation on Forward Capacity Allocation.
ETFGI Reports That Assets Invested ETFs And ETPs Listed In Canada Reached A Record High Of US$141.75 Billion At End Of September 2019

Date 04/11/2019

ETFGI, a leading independent research and consultancy firm covering trends in the global ETFs/ETPs ecosystem, reported today that ETFs listed in Canada saw net inflows of US$347 million in September, bringing year-to-date net inflows to US$11.35 billion. In the month, Canadian ETF assets increased by 2.0%, from US$138.91 billion in August to US$141.75 billion. Year-to-date through to the end of September, Canadian ETF assets increased 22.7% from US$115.48 billion to US$141.75 billion. At the end of September 2019, the Canadian ETF/ETP industry had 739 ETFs/ETPs, with 888 listings, from 37 providers on 2 exchanges. (All dollar values in USD unless otherwise noted.)
ACER Organises A Public Workshop On Three Electricity Balancing Decisions

Date 04/11/2019

The European Union (EU) Agency for the Cooperation of Energy Regulators (ACER) opens registration today for a public workshop scheduled on 13 November in Brussels.