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  • ESMA Finds High Level Of Diversity In National Markets For Structured Retail Products

    Date 13/09/2018

    The European Securities and Markets Authority (ESMA) has carried out a study of the EU market in structured retail products, from an investor protection perspective.

  • Remarks To The SEC Investor Advisory Committee, Chairman Jay Clayton

    Date 13/09/2018

    Thank you, Anne (Sheehan).  Good morning everyone. 

    I want to welcome, or should I say welcome back, Commissioner Elad Roisman.  This is Commissioner Roisman’s first Investor Advisory Committee meeting.  Elad was confirmed just last week and he joins us as the 98th Commissioner of the SEC.  We met many years ago when Elad first worked at the Commission and I am certain he will again make a lasting contribution to our work. 

  • Startups Gain Better Access To Later Stage Financing - GP Bullhound Becomes New Partner Of Deutsche Börse Venture Network

    Date 13/09/2018

    With a new collaboration, the more than 160 startups from Deutsche Börse Venture Network will get better access to growth financing: global technology advisory and investment firm GP Bullhound is joining the network. Companies in the later stage growth phase in particular will benefit from this. GP Bullhound is offering its advisory services to network members in their growth phase that are seeking the next round of growth capital or which want to sell their company.

  • SEC: Statement Regarding Staff Proxy Advisory Letters - Investment Management

    Date 13/09/2018

    As recently announced, the Commission staff will be hosting an upcoming Roundtable on the Proxy Process.1 The Roundtable, which is expected to be in November 2018, will provide the staff an opportunity to engage with market participants on topics including the voting process, retail shareholder participation and the role of proxy advisory firms. In developing the agenda for the roundtable, the staff has been considering (among other topics) whether prior staff guidance about investment advisers’ responsibilities in voting client proxies and retaining proxy advisory firms should be modified, rescinded or supplemented. Staff guidance is nonbinding and does not create enforceable legal rights or obligations.

  • US Commodity Futures Trading Commission And Monetary Authority Of Singapore Sign Arrangement To Cooperate On FinTech Innovation

    Date 13/09/2018

    The US Commodity Futures Trading Commission (CFTC) and the Monetary Authority of Singapore (MAS) today signed an arrangement to foster greater cooperation in FinTech. The arrangement supports both authorities’ efforts to facilitate FinTech development and innovation in their respective markets. This arrangement is the CFTC’s second FinTech cooperation arrangement with a non-US authority and its first with an authority in Asia.