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FinTech: Meeting The Regulatory Challenges Hong Kong FinTech Week 2018 Mr Ashley Alder Chief Executive Officer, Hong Kong’s Securities And Futures Commission. 1 November 2018

Date 01/11/2018

Good morning. I want to thank InvestHK for arranging this event once again and inviting me to speak.

I am a markets regulator, and so it will not surprise you to learn that today I want to talk about the regulatory response to the growing importance of financial technology (Fintech).

Ethics And Professionalism Post Royal Commission—A Regulator's View - Keynote Address By Cathie Armour, Commissioner, Australian Securities And Investments Commission At The CIMA Society Of Australia Annual Conference (Melbourne, Australia), 30 October 2018 And John Price, Commissioner, Australian Securities And Investments Commission (Sydney, Australia), 1 November 2018

Date 01/11/2018

Introduction

Good afternoon everyone and thank you Pauline Vamos and to the CIMA Society of Australia for inviting me here today.

Let me begin by acknowledging the Traditional Owners ongoing connection to and custodianship of the lands on which we meet today, and to pay my respects to elders both past and present.

Today, I will speak about the importance of ethics and professionalism for investment management analysts, and provide an update on some of ASIC's work that might be of interest to CIMA members.

SEC’s FIMSAC Working Group Report Recommends Oversight Of Electronic Trading Platforms For Corporate And Municipal Bonds: A TABB Group Analysis - Report Examines Current State Of Pre-Trade Transparency In US Corporate Bond And Muni Markets, Types Of Evolving Platforms, Market Structure And How To Regulate

Date 01/11/2018

The SEC published a recommendation on July 16 from its Fixed Income Market Structure Advisory Committee (FIMSAC) for a joint working group addressing the oversight of electronic trading platforms for corporate and municipal bonds, based on the group’s meeting in Washington, D.C.

Introductory Remarks For Veterans Day Commemoration Panel Discussion, SEC Chairman Jay Clayton, Washington D.C., Oct. 31, 2018

Date 31/10/2018

Thank you, Darren [Long, Chairman of the SEC Veterans Committee], for that kind introduction. I want to thank the SEC Veterans Committee for organizing today’s event. As the son of a Vietnam veteran, Veterans Day holds special meaning for me. It is a day during which we honor the women and men who have served in the armed forces of our great nation.

Office Of The Comptroller Of The Currency Invites Comment On Proposed Rule To Change Applicability Thresholds For Regulatory Capital And Liquidity Requirements

Date 31/10/2018

The Office of the Comptroller of the Currency (OCC) today announced it is inviting comment on a proposed rule that would establish four categories of standards and apply tailored capital and liquidity requirements for certain banking organizations with more than $100 billion in total consolidated assets. The proposal would build on the OCC’s existing practice of tailoring capital and liquidity requirements based on the size, complexity, and overall risk profile of banking organizations.

CME Group Announces Intention To Reconvene The Special Meeting Of Shareholders To Thursday, November 29, 2018

Date 31/10/2018

CME Group Inc. (Nasdaq: CME) today announced that it intends to reconvene the special meeting of its shareholders to be held at 10:00 a.m. Central Time on Thursday, November 29, 2018. The company plans to adjourn the special meeting of its shareholders scheduled for 10:00 a.m. Central Time on Monday, November 5, 2018, without conducting any business, and in order to provide more time to solicit additional proxies to vote in favor of the proposal to amend and restate CME Group's certificate of incorporation to eliminate some or all of the election rights held by its Class B shareholders.

SEC Issues Statement On Certain Provisions Of Business Conduct Standards For Security-Based Swap Dealers And Major Security-Based Swap Participants

Date 31/10/2018

The Securities and Exchange Commission today announced that it has voted to issue a statement setting forth the Commission’s position, for a limited time period, that certain actions with respect to specific provisions of its Business Conduct Standards for Security-Based Swap (SBS) Dealers and Major Security-Based Swap Participants will not provide a basis for a Commission enforcement action. The statement also addresses the Commission’s position on the ability of parties to security-based swaps to rely on written representations previously provided in relation to swaps, also for a limited time period.     

Fiserv Reports Third Quarter 2018 Results

Date 31/10/2018

• GAAP revenue growth of 1 percent in the quarter and 2 percent year to date;
• GAAP EPS increase of 2 percent in the quarter and 33 percent year to date;
• Internal revenue growth of 5 percent in both the quarter and year to date;
• Adjusted EPS increase of 23 percent in the quarter and 26 percent year to date;
• Full year outlook affirmed and lower end of adjusted EPS guidance raised

S&P Dow Jones Indices Europe Dashboard

Date 31/10/2018

• In the midst of a rollercoaster month for global equities, and with signs of slowing economic growth, the S&P Europe 350® completed its worst month since January 2016, falling 5% in October. 
• The S&P United Kingdom fell by a similar amount in local terms, but a confrontation between the European Commission and Italy’s populist government over the latter's budget proposals saw the euro lose ground against the sterling over the month, thus boosting the U.K.’s contribution to the pan-European blue chip benchmark. 
• Figures announced towards the end of the month showed that Italy's GDP growth rate had fallen to zero in the third quarter, adding further pressure on the political impasse over the budget.  The S&P Italy Sovereign Bond Index declined 1.5%, as “bond vigilantes” added their verdict to the European Commission’s fears for Italy’s ongoing fiscal health.  

Ontario Securities Commission Announces Activities For Financial Literacy Month 2018

Date 31/10/2018

The Ontario Securities Commission (OSC) today announced activities for Financial Literacy Month in November. The OSC will connect with people across Ontario in-person, online, over the phone and on social media through Financial Literacy Month education and outreach activities.