News Centre

Alberta Securities Commission Seeks Comment On Blanket Order That Would Facilitate Access To Capital For Community Economic Development Corporations

Date 14/09/2018

The Alberta Securities Commission (ASC) today published for comment Proposed Blanket Order 45-520 Facilitating Access to Capital for Community Economic Development Corporations. This Blanket Order would offer a new, limited exemption to the financial statement requirements of the offering memorandum prospectus exemption (OM Exemption) for community economic development corporations (CEDCs).

Canadian Securities Regulators Propose Rules To Prohibit Certain Embedded Commissions - Proposed Amendments Would Discontinue The Deferred Sales Charge (DSC) Option And Trailing Commissions To Dealers Who Do Not Make A Suitability Determination

Date 14/09/2018

The Canadian Securities Administrators (CSA) today published for comment a notice outlining proposed amendments that would prohibit investment fund managers from paying upfront sales commissions to dealers, and trailing commissions to dealers who do not make a suitability determination, such as order-execution-only dealers. These changes would result in the discontinuation of all forms of the deferred sales charge option (the DSC option), and more transparent fees on the discount brokerage channel.

United Kingdom Parliament Treasury Committee Update: RBS Chief Executive Ross McEwan "Withheld Information" During Evidence

Date 14/09/2018

The Times reported in July that Police Scotland is investigating certain criminal allegations in relation to a former RBS Global Restructuring Group (GRG) employee.

Canadian Securities Regulators Announce Agreement With Kx To Deliver Advanced Post-Trade Analysis

Date 14/09/2018

The Canadian Securities Administrators (CSA) today announced that it has selected Kx, a division of First Derivatives plc, to build and manage a next-generation market analytics platform designed to identify, assess and investigate potential market abuse cases.

SEC Monitoring Impact Of Hurricane Florence On Capital Markets

Date 13/09/2018

The Securities and Exchange Commission is closely monitoring the impact of Hurricane Florence on investors and capital markets. 

MIAX Options & MIAX PEARL - Disaster Recovery Connectivity Testing In Preparation For Reg SCI / SIFMA BCP Testing On October 13, 2018

Date 13/09/2018

As previously announced in the April 04, 2018 Alert the MIAX Exchanges will be participating in the 2018 SIFMA BCP Testing on Saturday, October 13, 2018.

CUSIP Request Volume Reaches Record High In August, Signaling Growth New Security Issuance - Municipal, Corporate Equity And Corporate Debt Pre-Market Activity Roars Back From July Slowdown

Date 13/09/2018

CUSIP Global Services (CGS) today announced the release of its CUSIP Issuance Trends Report for August 2018. The report, which tracks the issuance of new security identifiers as an early indicator of debt and capital markets activity, found across-the-board growth in monthly request volume for new municipal, corporate equity and corporate debt identifiers in August. This is suggestive of a strong pace of new security issuance.

B3 Is Included In The Report On ESG Integration Factors Produced By The Principles For Responsible Investment (PRI) And CFA Institute - The Report Will Be Launched At The PRI In Person Conference In The USA This Thursday

Date 13/09/2018

This week, San Francisco hosts the annual conference organized by the Principles for Responsible Investment (PRI), the largest responsible investment initiative in the world. B3 participates in the panel on responsible investments, risk and opportunity in Latin America through its Media Relations, Sustainability, Communications, and Social Investment director, Sonia Favaretto.

A Weed-Nap Deferred? Short Sellers Selective Amid Cannabis Rally - Analysis From Sam Pierson, Securities Finance Director, IHS Markit On The Latest Short Balances In The Cannabis Sector

Date 13/09/2018

• Short balances in the US/CA Cannabis sector at all-time high
• 17 Cannabis related stocks have seen shares short increase since Aug 1st
• Meaningful reduction in some short positions, notably Canopy Growth

CFTC Commissioner Quintenz To Keynote At ICDA 39th Annual European Summit (Bürgenstock)

Date 13/09/2018