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FINRA Announces Plan To Consolidate Examination And Risk Monitoring Programs

Date 01/10/2018

FINRA announced today that it plans to consolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective oversight and greater consistency, eliminate duplication and create a single point of accountability for the examination of firms. The effort is a result of FINRA360, the organization’s ongoing comprehensive self-evaluation and improvement initiative.

SIFMA Statement On New Trilateral Trade Deal

Date 01/10/2018

SIFMA released a statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, on the new trilateral trade deal announced today, the “United States-Mexico-Canada Agreement:”

“SIFMA welcomes the news that the United States, Canada and Mexico have reached agreement on a trilateral trade and investment deal to succeed NAFTA. SIFMA is reviewing the details closely with our members. For the first time ever in a trade and investment agreement, provisions prohibiting data localization and improving the free flow of data across borders, which are so important to many of our members’ businesses, is protected. We will continue to assess the text in coming days.”

MGEX Announces September Volume Statistics

Date 01/10/2018

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reports that the total exchange volume for September 2018 came in at 110,687 contracts.

ELITE USA Launches In The State Of Ohio

Date 01/10/2018

• ELITE USA launches today; State of Ohio is first state in the United States to offer ELITE programme
• ELITE and JobsOhio sign a collaboration agreement to accelerate growth of midmarket companies in Ohio, supported by local network of partners
• Business support and capital raising programme to support job creation and economic development in the state
• Demonstrates LSEG’s commitment to strengthening ties with the U.S. capital markets
• More than 900 companies have joined ELITE from 32 countries across 34 sectors

OCC Cleared Contract Volume Up 8.7 Percent In September - Total Cleared Volume Up 18.6 Percent Year-To-Date - Equity Options Volume Up 14.3 Percent In September And Up 21.7 Percent Year-To-Date - Securities Lending Activity Up 6.9 Percent In September And 17.0 Percent Year-To-Date

Date 01/10/2018

OCC, the world’s largest equity derivatives clearing organization, announced today that total cleared contract volume in September reached 365,152,938 contracts, up 8.7 percent compared to September 2017 volume of 335,867,813. OCC's year-to-date average daily cleared contract volume is up 18.6 percent with 20,209,877 contracts compared to 17,038,958 contracts in 2017.

SEC To Focus On Empowering Main Street Investors For 2018 World Investor Week - Joint Investor Bulletin Issued On Understanding Digital Assets And Online Investing

Date 01/10/2018

The Securities and Exchange Commission today announced that empowering Main Street investors will be the SEC’s focus during World Investor Week, which takes place Oct. 1-7, 2018.  SEC staff will emphasize both the basics of investing and savings as well as important emerging issues like the rise of initial coin offerings and digital assets, distributed ledger technology, and other innovations.

S&P Dow Jones Indices: S&P Europe 350 Factor Dashboard

Date 01/10/2018

• Each of our Momentum, Quality and Low Volatility factor indices based on the S&P Europe 350 outperformed in the third quarter. Momentum led the way.
   
• Meanwhile - due in part to its large overweight in a Financials sector battered by an end-of-quarter selloff in Italian banks - Enhanced Value lost ground.
   
• It was a mixed quarter for dividend-based strategies. Last quarter's standout performer, the S&P Europe 350 Dividend Aristocrats, came in at the top of the category again in Q3.

Prisoners, Wellness Programmes And The Rats Of Hanoi: Why The FCA Tests Its Interventions - Speech By Christopher Woolard, Executive Director Of Strategy And Competition At The UK Competition Network Conference

Date 01/10/2018

Highlights:

• The FCA has been at the forefront of recognising the value of testing interventions and was one of the first global regulators to set up a dedicated behavioural economics team.
• Testing helps us design better, more effective regulation by showing what works, and what doesn’t.
• The FCA has worked closely with practitioners and fellow regulators to share knowledge and design best practice.

London Stock Exchange Group Plc - Total Voting Rights

Date 01/10/2018

The following notification is made in accordance with the FCA's Disclosure Guidance and Transparency Rules.

As at close of business on 28 September 2018, London Stock Exchange Group plc has in issue 350,600,994 ordinary shares of 6 79/86 pence each.

ESAs Highlight The Relevance Of Legislative Changes For The Key Information Document For PRIIPs

Date 01/10/2018

Today, the European Supervisory Authorities (ESAs) wrote a letter to the European Commission expressing their concerns regarding the possibility of duplicating information requirements for investment funds from 1 January 2020 and the importance of legislative changes to avoid such a situation.