News Centre

SEC Names Matthew S. Jacques As Chief Accountant In Enforcement Division

Date 23/08/2018

The Securities and Exchange Commission today announced that Matthew S. Jacques has been named the new chief accountant in the SEC’s Division of Enforcement.

Ontario Securities Commission Publishes Summary Report For Dealers, Advisers And Investment Fund Managers

Date 23/08/2018

The Ontario Securities Commission (OSC) today published OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, which highlights common compliance deficiencies, current issues and trends in registration, and key policy initiatives impacting registrants.

Canadian Securities Regulators Issue Guidance On Bail-In Debt Regime

Date 23/08/2018

The Canadian Securities Administrators (CSA) today published two notices outlining CSA staff’s views regarding the implementation of the bail-in debt regime for domestic systemically important banks (D-SIBs), which include Canada’s six largest banks, and for Quebec’s Desjardins Group. The first notice addresses the distribution or trade of bail-in debt to investors and the second notice provides guidance for investment fund issuers that may invest in bail-in debt.

Finansinspektionen Grants Nordea Authorisation To Move To Finland

Date 23/08/2018

Finansinspektionen (FI) grants Nordea Bank AB authorisation to execute its merger plan and thus move the bank’s head office to Finland.

CFTC Unanimously Approves A Proposal To Amend The Clearing Requirement To Help End-Users

Date 23/08/2018

The Commodity Futures Trading Commission (CFTC) today unanimously approved a swap clearing requirement proposed rule that would reduce unnecessary burdens on bank holding companies, savings and loan holding companies, and community development financial institutions.

TheCityUK: Financial Services In The UK Well-Advanced On Brexit Preparation

Date 23/08/2018

TheCityUK has responded to the UK government’s Brexit contingency paper for financial services.

Statement Of CFTC Chairman J. Christopher Giancarlo On Amendments To Clearing Exemption For Swaps Entered Into By Certain Bank Holding Companies, Savings And Loan Holding Companies, And Community Development Financial Institutions

Date 23/08/2018

Consistent with the overall goals of Project KISS, this proposal would codify Commission policy laid out in the preamble to the 2012 End-User Exception final rule and several staff no-action letters.  It will also provide clarity and reduce unnecessary burdens on bank holding companies and savings and loan holding companies with consolidated assets of $10 billion or less, and certain community development financial institutions.

Barry Miller, Associate Director In Division Of Investment Management, To Leave SEC After More Than 40 Years Of Public Service

Date 23/08/2018

The Securities and Exchange Commission today announced that Barry D. Miller, Associate Director of Disclosure Review and Accounting in the Division of Investment Management, will retire from the SEC at the end of this month after more than 40 years of public service, including more than 30 years of service at the SEC.

ETFGI Reports Smart Beta ETFs And ETPs Globally Reach New High Of 659 Billion US Dollars At End Of July 2018

Date 23/08/2018

ETFGI, a leading independent research and consultancy firm on trends in the global ETF/ETP ecosystem, reported today that assets invested in Smart Beta ETFs and ETPs listed globally reached a new high of US$659 billion, following net inflows of US$6.27 billion and market movements during July. (All dollar values in USD unless otherwise noted.) 

Osaka Exchange Receives FBOT Registration From U.S. CFTC

Date 23/08/2018

Osaka Exchange, Inc. (OSE) is pleased to announce that on August 22, 2018, the U.S. Commodity Futures Trading Commission (CFTC) issued an Order granting OSE registration as a Foreign Board of Trade (FBOT) under the U.S. Commodity Exchange Act. The registration permits OSE to provide trading participants located in the U.S. with direct access to OSE's trading system*.