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Letter From NZX Chair To Shareholders

Date 03/10/2018

Please see attached letter from NZX Chair James Miller acknowledging recent public commentary about NZX’s strategy.
U.S. Federal Agencies Issue A Joint Statement On Banks And Credit Unions Sharing Resources To Improve Efficiency And Effectiveness Of Bank Secrecy Act Compliance

Date 03/10/2018

The federal depository institutions regulators and the U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) today issued a statement to address instances in which certain banks and credit unions may decide to enter into collaborative arrangements to share resources to manage their Bank Secrecy Act (BSA) and anti-money laundering (AML) obligations more efficiently and effectively. Collaborative arrangements as described in the statement generally are most suitable for financial institutions with a community focus, less complex operations, and lower-risk profiles for money laundering or terrorist financing. The statement, which was issued by the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, FinCEN, the National Credit Union Administration, and the Office of the Comptroller of the Currency, explains how these institutions can share BSA/AML resources in order to better protect against illicit finance risks, which can in turn also reduce costs. Today's joint statement is a result of a working group recently formed by these agencies and Treasury's Office of Terrorism and Financial Intelligence aimed at improving the effectiveness and efficiency of the BSA/AML regime.
CFTC’s Technology Advisory Committee Announces Agenda For Its October 5 Public Meeting

Date 03/10/2018

The Commodity Futures Trading Commission (CFTC) today announced the agenda for the upcoming Technology Advisory Committee (TAC) public meeting on Friday, October 5, 2018 at CFTC’s headquarters in Washington, DC. [For attending, viewing, and listening instructions, see CFTC Press Release 7798-18].
SEC Halts Microcap Fraud Scheme Orchestrated Through International Accounts

Date 03/10/2018

The Securities and Exchange Commission has filed an emergency action and obtained an asset freeze against two individuals and their companies in a scheme that generated more than $165 million of illegal sales of stock in at least 50 microcap companies. SEC investigators unraveled the multi-year scheme with the assistance of more than a dozen international regulators and sophisticated analysis of nearly 400 bank and brokerage accounts.
CFTC Charges Owner Of Precious Metals Firm With Defrauding More Than 130 Customers In Precious Metals Scheme

Date 03/10/2018

The Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Western District of Washington charging Defendant Aaron Michael Scott of Portland, Oregon, with fraud and misappropriation in connection with contracts of sale of precious metals, specifically gold and silver. Scott conducted his scheme through now-dissolved Washington-based company BMC Worldwide, Inc. (d/b/a Blue Moon Coins) (Blue Moon).

ISDA And KWM Publish Practical Framework For Constructing Smart Derivatives Contracts

Date 03/10/2018

ISDA and law firm King & Wood Mallesons (KWM) have published a new whitepaper that sets out the steps for developing smart derivatives contracts, part of ISDA’s broader work to drive further standardization in derivatives markets and facilitate automation.
CFTC Swaps Report Update

Date 03/10/2018

CFTC's Weekly Swaps Report has been updated, and is now available.
British Columbia Securities Commission Study Finds Millennials Understand Investment Fees Better Under CRM2, But Are The Least Loyal Of Investors When It Comes To Advisor Relationships

Date 03/10/2018

A four-part, longitudinal study commissioned by the British Columbia Securities Commission (BCSC) shows that millennials' general understanding of investment fees grew as a result of charges and compensation reports required under securities rules known as the Client Relationship Model, Phase 2 (CRM2). But millennials were also the most likely of all generations to change their advisor or firm during the study period.
Nodal Exchange And IncubEx Set Launch Date For North American Environmental Products

Date 03/10/2018

Nodal Exchange and IncubEx are pleased to announce the launch of their first tranche of North American Environmental products, which is planned for November 16, 2018, pending regulatory review.
Federal Reserve Board Seeks Public Comment On Potential Actions To Facilitate Real-Time Interbank Settlement Of Faster Payments

Date 03/10/2018

The Federal Reserve Board on Wednesday invited public comment on actions the Federal Reserve could take to support faster payments in the United States. The potential actions, which would facilitate real-time interbank settlement of faster payments, build on collaborative work with the payment industry through the Federal Reserve System's Strategies for Improving the U.S. Payment System (SIPS)initiative.