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FSB - Call For Nominations: Academic Subject Matter Expert - Appointment As Academic Subject Matter Expert To The Derivatives Assessment Team

Date 18/08/2017

The Financial Stability Board (FSB), the Basel Committee on Banking Supervision (BCBS), Committee on Payments and Market Infrastructures (CPMI) and International Organization of Securities Commissions (IOSCO) have agreed to undertake an evaluation of the impact of the interaction of reforms on incentives to centrally clear over-the-counter (OTC) derivatives. Over 2017-18, the Derivatives Assessment Team (DAT) will undertake a review of the incentives for central clearing arising from the interaction of a number of post-crisis regulatory reforms (see attached background note for more information on the study). A previous study was published in 2014.
Deutsche Börse AG: Hearing Letter By The Public Prosecutor

Date 18/08/2017

The Company today has received a notification of hearing from the public prosecutor's office in Frankfurt a.M. notifying the Company that it intends to formally involve the Company in the ongoing investigation proceedings against the Chief Executive Officer of the Company, Carsten Kengeter.
Nasdaq To Hold A Moment Of Silence Honoring The Victims Of The Barcelona Attacks

Date 18/08/2017

What:
Nasdaq will observe a one-minute moment of silence at 9:20 a.m. Eastern Time (ET) in remembrance of those lost in the attacks. The Nasdaq Tower in Times Square will be displaying a message honoring the victims and families in Barcelona.
Hong Kong's Securities And Futures Commission: Court Of First Instance Dismissed Application By Hong Kong Game Theory For Leave To Appeal To The Court Of Final Appeal

Date 18/08/2017

The Court of First Instance has dismissed the certification application by Hong Kong Game Theory Association Limited (Hong Kong Game Theory) and its sole director Mr Sze Ching Lok for the purpose of filing appeals to the Court of Final Appeal against their earlier conviction of carrying on unlicensed activities.
ETFGI Reports In Europe ETFs And ETPs Gathered A Record 74 Billion US Dollars In Net Inflows In First 7 Months Of 2017 Surpassing The 2016 Record Total

Date 18/08/2017

ETFGI, a leading independent research and consultancy firm on trends in the global ETF/ETP ecosystem, reported today that ETFs and ETPs listed in Europe gathered net inflows of US$10.16 Bn in July marking the 33rd month of consecutive inflows.

BISX Lists the Oil & Gas Opportunity Lending Fund Ltd.

Date 18/08/2017

The Bahamas International Securities Exchange (BISX) is pleased to announce that the Oil & Gas Opportunity Lending Fund Ltd. (the Fund) has successfully completed the BISX Mutual Fund Listing Process. As a result, the Fund’s shares have now been added to the roster of funds listed on the Exchange. The Oil & Gas Opportunity Lending Fund Ltd. is an open-ended mutual fund.
TMX Group Statement Regarding Regulatory Engagement

Date 17/08/2017

TMX Group, owner and operator of CDS, Canada's equities and fixed income clearing house, is engaged with the Canadian Securities Administrators (CSA), an umbrella organization of Canada's provincial and territorial securities regulators, regarding the clearing of securities of issuers with marijuana-related activities in the U.S. This is a complex matter which touches multiple aspects across our capital market system, and as such requires close examination and careful consideration.
Federal Court Orders Jeffrey Slemmer, Christian Dorrian, Adam Roth, And Their Florida-Based Companies To Pay Over $5.4 Million In Restitution And A Penalty In CFTC Precious Metals And Diamonds Anti-Fraud Action - Slemmer Enterprises, Dorrian Enterprises And Roth Investment Group All Part Of The Berkley Enterprise That Defrauded Customers

Date 17/08/2017

The Commodity Futures Trading Commission (CFTC) announced that Judge William P. Dimitrouleas of the U.S. District Court for the Southern District of Florida entered a Consent Order against Defendants Jeffrey Slemmer of Acton, Massachusetts, Christian Dorrianof Boynton Beach, Florida, Adam Roth of Boca Raton, Florida, and their former respective Florida companies Slemmer Enterprises LLC, Dorrian Enterprises, LLC, and Roth Investment Group LLC, finding that the defendants fraudulently solicited customers in connection with precious metals and diamonds transactions, misappropriated customer funds, and concealed their fraud with false account statements. The defendants executed the scheme using the business names Berkley Hard Asset Group, Berkley Hard Assets, and Berkley Rare Diamonds (the Berkley Enterprise).
Amazon Web Services And Nasdaq To Sponsor FIA Innovators Pavilion

Date 17/08/2017

FIA is pleased to announce that Amazon Web Services and Nasdaq have signed on as sponsors of FIA’s third annual Innovators Pavilion, a showcase for fintech startups that are offering forward-thinking solutions for the global derivatives markets.
Ontario Securities Commission Announces Agenda For Roundtable On Option Of Discontinuing Embedded Commissions

Date 17/08/2017

The Ontario Securities Commission (OSC) today announced the agenda and list of panellists for the upcoming roundtable to discuss Canadian Securities Administrators (CSA) Consultation Paper 81-408 Consultation on the Option of Discontinuing Embedded Commissions.