News Centre

RBC Investor & Treasury Services Appointed Custodian By Bridging Finance Inc.

Date 31/01/2019

RBC Investor & Treasury Services (RBC I&TS), part of Royal Bank of Canada (RY on TSX and NYSE), today announced it has been appointed custodian by Bridging Finance Inc. (“Bridging Finance”) for the assets of the Bridging Income Fund LP and the Bridging Income RSP Fund (collectively, the “Funds”). RBC I&TS will also provide fund accounting and shareholder services support.

HKEX: Exchange Publishes Results Of Latest Review Of Issuers’ Annual Report Disclosure

Date 31/01/2019

• Disclosure in issuers’ annual reports was generally satisfactory
• Areas for improvement include business review in MD&A, financial statements with auditors’ modified opinion, disclosures on material other expenses, and material intangible assets

ESMA Issues Statement To Address Upcoming EMIR Refit Implementation Issues

Date 31/01/2019

The European Securities and Markets Authority (ESMA) has published today a statement addressing EMIR Refit implementation. The public statement addresses issues around the clearing and trading obligations for small financial counterparties and the backloading requirement for reporting entities, ahead of upcoming deadlines, which would represent challenges for the above mention entities in the context of the ongoing EMIR Refit negotiations. 

Oslo Børs VPS Holding ASA - Mandatory Notification Of trade

Date 31/01/2019

Ingvild Resaland (Board employee representative Oslo Børs ASA) has 31 January 2019 sold 1447 shares in Oslo Børs VPS Holding ASA at a price of NOK 152 per share. After this transaction, she holds 0 shares in the company.

HKEX: Report On Initial Public Offering Applications, Delisting And Suspensions

Date 31/01/2019

Report on Initial Public Offering Applications, Delisting and Suspensions (As At 31 January 2019)

ESMA Q&As Clarify Prospectus And Transparency Rules In Case Of No-Deal Brexit

Date 31/01/2019

The European Securities and Markets Authority (ESMA) has issued today three Questions and Answers (Q&As) regarding the Prospectus Directive (PD) and the Transparency Directive (TD). 

Broadridge Expands Asset Management Solutions With Acquisition Of Pivotdata And Sol Hedge’s Private Fund Regulatory Reporting Capabilities

Date 31/01/2019

Broadridge Financial Solutions, Inc. (NYSE: BR), a global Fintech leader, today announced the acquisition of certain private fund regulatory reporting capabilities from PivotData, LLC, a data warehouse and compliance reporting solutions platform for the investment community, and its partner Sol Hedge, LLC. Broadridge will leverage their capabilities to help private fund asset managers meet their regulatory reporting requirements.

Puleston Jones To Depart FIA

Date 31/01/2019

FIA’s President and CEO Walt Lukken today announced his acceptance of the resignation of Simon Puleston Jones, who is leaving the organization for other business pursuits.  Mr. Puleston Jones has been the organization’s Head of Europe since 2016, when he helped oversee the merger between FIA’s global affiliates into a single organization.  Mr. Puleston Jones also chairs the Joint Trade Association Group, a forum of over 20 financial services trade associations that advocate on issues such as Brexit and MiFID II.

ETFGI Reports ETFs And ETPs Listed In The Middle East And Africa Saw Outflows Of US$273 Million During December 2018

Date 31/01/2019

ETFGI, a leading independent research and consultancy firm covering trends in the global ETF/ETP ecosystem, reported today that ETFs and ETPs listed in the Middle East and Africa saw net outflows of US$273 million during December. Over the month, total assets invested in the Middle East and African ETF and ETP industry decreased 7.75%, from US$31.63 billion at the end of November, to US$29.18 billion, according to ETFGI’s December 2018 Middle East and Africa ETF and ETP industry landscape insights report, an annual paid-for research subscription service.  (All dollar values in USD unless otherwise noted.) 

TISE Receives Recognition From US Regulator, SEC

Date 31/01/2019

The recognition from the federal regulator means that securities listed on TISE can be issued and resold in a more streamlined manner.