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NZX Shareholder Metrics April 2019

Date 02/05/2019

Please see attached NZX shareholder metrics for April 2019.
SEC: Adam S. Aderton Named Co-Chief Of The Asset Management Unit

Date 02/05/2019

The Securities and Exchange Commission today announced that Adam S. Aderton has been named Co-Chief of the Division of Enforcement's Asset Management Unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds. He succeeds Anthony Kelly, who left the agency in November 2018.
Federal Reserve System's Community Development Research Conference To Focus On Challenges Faced By The Middle Class

Date 02/05/2019

The Federal Reserve System's Community Development Research Conference, "Renewing the Promise of the Middle Class," will be held May 9-10, 2019, in Washington, D.C. The conference will feature the latest research on challenges faced by low- and moderate-income families when moving into the middle class, as well as threats to the economic security of middle-class households.
Statement By Acting Financial Services Superintendent Linda A. Lacewell Regarding The Court’s Decision To Allow New York State Department of Financial Services’s Lawsuit Against The Office Of The Comptroller Of The Currency To Move Forward

Date 02/05/2019

“Today’s decision by the court is a resounding triumph for consumers and the regulated banking industry not just in New York, but across the nation. The court has recognized the expertise of DFS and other state banking regulators and the significant role we play in regulating nonbank financial services, promoting innovative fintech products, helping to achieve a level playing field for regulated banking institutions, and most importantly, protecting consumers. DFS, which was created in response to the financial crisis, will continue to lead and fill any and all voids that misguided federal policy decisions create.”
FINRA Sanctions AXA Advisors, LLC Approximately $772,000 For Misrepresentations To 401(K) Plan Sponsors And Participants - Restitution Ordered - Firm Ordered To Send Corrective Disclosures To Affected Plan Participants

Date 02/05/2019

FINRA announced today that it has fined AXA Advisors, LLC (AXA) $600,000 and ordered the firm to pay approximately $172,000 in restitution to affected 401(k) retirement plan participants for distributing materials that negligently misrepresented that certain bond funds offered for 401(k) plans were “investment-grade” when, in fact, a substantial portion of the funds’ portfolios consisted of high-yield or junk bonds. As part of the settlement, FINRA also required AXA to send corrective disclosures to all affected plan participants.

CFTC Chairman Giancarlo Releases Letter To Federal Reserve Board Vice Chairman Quarles On Phase Five Implementation

Date 02/05/2019

Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo sent a letter to Federal Reserve Board Vice Chairman Randal K. Quarles concerning “Phase Five” implementation requirements for initial margin on uncleared swaps, scheduled for September 2020.
Canadian Securities Regulators Outline Next Steps On The Development Of An Integrated Information System

Date 02/05/2019

The Canadian Securities Administrators (CSA) today set out next steps for a new integrated national information and filing system (the Renewed System) for Canada’s capital markets. The Renewed System will replace the System for Electronic Document Analysis and Retrieval (SEDAR), the System for Electronic Disclosure by Insiders (SEDI), the National Registration Database (NRD), and various local records filing systems.
EEX Trading Results For April 2019 - EEX Power Derivatives Markets Increase By 35%

Date 02/05/2019

In April 2019, the European Energy Exchange (EEX) increased volumes on its power derivatives markets by 35% to 331.9 TWh (April 2018: 246.6 TWh). In particular, volumes traded in the German Phelix-DE product (232.2 TWh, +82%) contributed to this growth.The markets for France (24.7 TWh, +25%), Italy (46.9 TWh, +21%), Spain (9.5 TWh, +32%) and Central-/South-Eastern Europe (8.9 TWh, +44%) achieved double-digit growth.
FIA Names Bruce Savage As Head Of Europe

Date 02/05/2019

FIA President and CEO Walt Lukken today named Bruce Savage as the new Head of Europe. Savage, who will join FIA this summer, has spent 21 years with Deutsche Bank in a variety of roles, most recently as the bank’s Global Head of Regulatory Affairs & Market Structure, Listed Derivatives & Markets Clearing. He has been an active member of FIA, recently serving on the association’s board of directors and as a member of the European Regional Advisory Board.
CP On EBA Launches Consultation On Technical Standards On The Standardised Approach For Counterparty Credit Risk

Date 02/05/2019

The European Banking Authority (EBA) launched today a consultation on four draft Regulatory Technical Standards (RTS) on the Standardised Approach for Counterparty Credit Risk (SA-CCR). These draft technical standards specify key aspects of the SA-CCR and represent an important contribution to its smooth harmonised implementation in the EU. The draft technical standards were developed based on the mandates included in the latest available version of proposed amended Capital Requirements Regulation (CRR2). The consultation runs until 2 August 2019.