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10 Formal AML/CFT Warnings Issued By New Zealand's Financial Markets Authority

Date 14/05/2019

The Financial Markets Authority (FMA) has issued formal warnings to 10 reporting entities under Section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act).
Supervision And Regulation Report, Federal Reserve Vice Chair For Supervision Randal K. Quarles, Before The Committee On Banking, Housing, And Urban Affairs, U.S. Senate, Washington, D.C.

Date 14/05/2019

Chairman Crapo, Ranking Member Brown, Members of the Committee, thank you for your time and for your invitation to testify today on the Federal Reserve's regulation and supervision of the financial system.
Report From FINRA Board Of Governors Meeting – May 201

Date 14/05/2019

FINRA’s Board of Governors met on May 6 and 7 in New York City. During the meeting, the Board received updates on FINRA’s regulatory operations, including a status report on FINRA’s 529 plan self-reporting initiative and draft guidance around when Enforcement would grant firms credit for extraordinary cooperation during the enforcement process. That guidance will be published in a future Regulatory Notice. In addition, the Board’s Audit Committee reviewed a draft of FINRA’s Annual Financial Report, which the full Board will review and consider for approval prior to its publication this summer.
Cboe Global Markets Plans Listing Of Options On Uber Technologies, Inc. (UBER), On Thursday, May 16

Date 14/05/2019

Cboe Global Markets, Inc. (Cboe: CBOE), one of the world's largest exchange holding companies, today said it plans to list options on Uber Technologies, Inc. (UBER), a ride-share company, on Thursday, May 16, once the underlying stock has been certified as meeting all of Cboe's applicable exchanges' listing criteria.
SIFMA Submission To The Senate Finance Committee On Challenges In The Retirement System

Date 14/05/2019

SIFMA today submitted a statement for the record to the Senate Finance Committee in conjunction with a hearing on challenges in the retirement system.

FINRA Launches Initiative To Simplify Firms’ Digital Experience With FINRA, Facilitating More Efficient And Effective Compliance Programs - Digital Experience Transformation Invites Firms To “Help Us Design The Future” Of Compliance Reporting And Management

Date 14/05/2019

FINRA announced today that it is launching an initiative to transform the digital platform that firms use to engage with FINRA across several programs. The Digital Experience Transformation, as it is being called, is a wide-ranging, multi-year effort to integrate and simplify brokerage firms’ digital interactions with FINRA, facilitating more efficient and effective compliance programs. The initiative is the latest outgrowth of the ongoing FINRA360 organizational improvement initiative.
Ontario Securities Commission’s Investor Advisory Panel Releases 2018 Annual Report

Date 14/05/2019

The Investor Advisory Panel (the Panel) released its 2018 Annual Report summarizing its activities, submissions, consultations, and meetings during the calendar year.
SIFMA Fixed Income Market Close Recommendations In The U.S., The U.K. And Japan For Memorial Day

Date 14/05/2019

SIFMA confirmed its previous recommendations for the U.S., the U.K., and Japan in observance of the U.S. Memorial Day and the U.K. Spring Bank Holidays.
2019 Annual General Meeting Of Oslo Børs VPS Holding ASA

Date 14/05/2019

The Annual General Meeting of Oslo Børs VPS Holding ASA held on Tuesday 14 May 2019 approved the annual report and accounts for 2018.
CME Group And Mayor Emanuel Award Scholarships For Star Scholars To Continue At Four-Year Institutions

Date 14/05/2019

CME Group, the world's leading and most diverse derivatives marketplace, and Mayor Rahm Emanuel presented 25 Chicago Star Scholars with scholarships to fund their continued education at a four-year college or university. Once students graduate from City Colleges of Chicago (CCC) with an associate degree, they will receive a $5,000 scholarship over two years, ensuring more students from all economic backgrounds can access a viable pathway to higher education.