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CAT Reporting Technical Specifications For Industry Members Version 1.0

Date 30/10/2018

CAT NMS, LLC published the final version of the CAT Reporting Technical Specifications for Industry Members (“Technical Specifications”). This version incorporates industry feedback submitted to the Participants since publication of the Version 0.6 draft published on September 5, 2018.
ETFGI Reports Assets Invested In Actively Managed ETFs And ETPs Reached A New High Of US$106 Billion At The End Of September 2018

Date 30/10/2018

ETFGI, a leading independent research and consultancy firm covering trends in the global ETF/ETP ecosystem, reported today that assets invested in actively managed ETFs and ETPs listed globally reached a new high of US$106 billion, following net inflows of US$2.96 billion and market moves during September. August trends continued, with actively managed ETFs/ETPs in North America attracting net inflows, while actively managed ETFs/ETPs in Europe saw net outflows, according to ETFGI’s September 2018 Global Active ETF and ETP industry landscape insights report, an annual paid-for research subscription service.  (All dollar values in USD unless otherwise noted.)
Ontario Securities Commission Offers New Resource For Respondents - FAQ Clarifies Procedures Expected In OSC Tribunal Proceedings

Date 30/10/2018

The Ontario Securities Commission today published “Frequently Asked Questions About Proceedings” on its website. This information is intended to assist respondents, including self-represented parties as well as others involved in proceedings before the Ontario Securities Commission tribunal by answering frequently asked questions and providing a general overview of procedures that can be expected in tribunal proceedings.
US Agencies Propose Rule To Update Calculation Of Derivative Contract Exposure Amounts Under Regulatory Capital Rules

Date 30/10/2018

Three federal banking agencies on Tuesday invited public comment on a proposal to update their standards for how firms measure counterparty credit risk posed by derivative contracts under the agencies' regulatory capital rules. The proposed changes are designed to better reflect the current derivatives market and incorporate risks observed during the 2007-2008 financial crisis.
FINRA Fines LPL $2.75 Million For Complaint-Reporting And AML Program Failures

Date 30/10/2018

FINRA announced today that it has fined LPL Financial, LLC $2.75 million for complaint-reporting and AML program failures that spanned a period of more than three years.

SIFMA Fixed-Income Market Close Recommendations In The U.S., The U.K. And Japan For The U.S. Veterans Day Holiday

Date 30/10/2018

SIFMA has confirmed its previous recommendations for a full market close on Monday, November 12 for the trading of U.S. dollar-denominated fixed-income securities in the U.S., U.K. and Japan in observance of the U.S. Veterans Day Holiday.
B3 Breaks Record For The Overall Total Of Trades In The BM&F And BOVESPA Segments

Date 30/10/2018

Today, B3 hit a historical record of trades carried out in the BM&F and BOVESPA segments, reaching 4,926,316 trades. The earlier mark was 4,734,609 trades on August 10, 2018.
EBA Consults On Draft DPM 2.9 For Supervisory Reporting

Date 30/10/2018

The European Banking Authority (EBA) launched today a consultation on the new draft version of Data Point Model (DPM) 2.9. The new release is an exposure draft of the new data requirements proposed in the ongoing public consultations on amendments to the Implementing Technical Standards (ITS) on supervisory reporting on COREP LCR, COREP securitisation & FINREP-NPE&FB, P&L and IFRS16. The final DPM 2.9 version will be updated together with the ITS on supervisory reporting to include the feedback received from the public consultations. The consultation runs until 7 December 2018.
The Amman Stock Exchange Received A Delegation From The Hashemite University

Date 30/10/2018

The Amman Stock Exchange (ASE) received a delegation from the Faculty of Economics and Administrative Sciences at the Hashemite University, during a field visit to the ASE and the Jordan Capital Market Institutions, where the Director of Operations Department, Mr. Mohammed Shneawer explained the mechanism of the trading in the ASE and the most important features of the electronic trading system as well.
European Banking Authority: Consultation On Draft DPM 2.9 For Supervisory Reporting

Date 30/10/2018

The European Banking Authority (EBA) launched today a consultation on the new draft version of Data Point Model (DPM) 2.9. The new release is an exposure draft of the new data requirements proposed in the ongoing public consultations on amendments to the Implementing Technical Standards (ITS) on supervisory reporting on COREP LCR, COREP securitisation & FINREP-NPE&FB, P&L and IFRS16. The final DPM 2.9 version will be updated together with the ITS on supervisory reporting to include the feedback received from the public consultations. The consultation runs until 7 December 2018.