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Canadian Securities Regulators Outline Disclosure Expectations And Certain Risks For Issuers With U.S. Marijuana-Related Activities

Date 16/10/2017

The Canadian Securities Administrators (CSA) today published CSA Staff Notice 51-352 Issuers with U.S. Marijuana-Related Activities, which among other things, outlines CSA staff’s specific disclosure expectations for issuers that have, or are in the process of developing, marijuana-related activities in the U.S.
TMX Group And Shenzhen Stock Exchange Sign Memorandum Of Understanding

Date 16/10/2017

TMX Group Limited [TSX:X] (TMX Group) and the Shenzhen Stock Exchange (SZSE) are pleased to announce the execution of a non-binding Memorandum of Understanding (MoU) pursuant to which TMX Group and SZSE agree to explore opportunities for economic cooperation with a specific focus on the technology and innovation sectors, areas that are experiencing rapid growth in both Canada and China.
SEC Proposes Rules To Implement FAST Act Mandate To Modernize And Simplify Disclosure

Date 16/10/2017

The Securities and Exchange Commission today voted to propose amendments to modernize and simplify disclosure requirements for public companies, investment advisers, and investment companies and to implement a mandate under the Fixing America's Surface Transportation (FAST) Act. The proposed amendments would make adjustments to update, streamline or otherwise improve the Commission's disclosure framework.
CFTC Announces Clearinghouse Liquidity Stress Test Results

Date 16/10/2017

Staff of the U.S. Commodity Futures Trading Commission (CFTC) today issued a report detailing the results of an evaluation of settlement liquidity at clearinghouses. The purpose of the analysis was to assess the impact of a hypothetical extreme but plausible market scenario on the ability of three clearinghouses to meet their settlement obligations on time. It is the second systemic stress testing report issued by CFTC, following its Supervisory Stress Test of Clearinghouses published in November 2016.
SEC Announces Whistleblower Award Of More Than A Million Dollars

Date 16/10/2017

The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for providing the SEC with new information and substantial corroborating documentation of a securities law violation by a registered entity that impacted retail customers.

DTCC Unveils Framework For Assessing Fintech's Impact On Financial Stability In New White Paper - Fintech Could Materially Change The Risk Landscape In The Years To Come In Either Positive Or Negative Ways

Date 16/10/2017

As experimentation and development of new fintech applications continues to grow, The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today unveiled a new framework of nine key factors to assess when considering its impact on financial stability.
Moscow Exchange Will Change The Tick Size On The Stock Market Since November 1, 2017

Date 16/10/2017

Moscow Stock Exchange will change the tick size on the stock market since November 1, 2017 for the following shares:
Turquoise Makes AIM Stocks Available For Trading

Date 16/10/2017
- New channel of execution for FTSE AIM UK 50 constituents
- Expands Turquoise’s broad universe of over 4,300 stocks from 19 European countries to trading members
- Reflects increasing demand for trading small and mid-caps
- Reinforces Turquoise’s commitment to market innovation
- Block trading mechanism, Turquoise Plato Block Discovery™ celebrates its third anniversary

CFTC Commissioner Quintenz To Participate In A Fireside Chat At Georgetown University’s Fintech Conference

Date 16/10/2017

WHAT:	Commissioner Brian Quintenz will join SEC Commissioner Kara Stein in a Fireside Chat at Georgetown University's First Annual Fintech Week.
WHEN:	October 19, 2017 4:00 p.m. – 6:00 p.m.
WHERE:	Georgetown University Law Center 600 New Jersey Ave NW Washington, DC

Tradeweb Launches Electronic Swaptions Trading On TW SEF - An Automated Workflow Brings Greater Efficiency To Swaptions Market On Tradeweb

Date 16/10/2017

Tradeweb Markets, a leading global provider of fixed income, derivatives and ETF marketplaces, announced the launch of swaptions trading on TW SEF. Garda Capital Partners LP, an alternative asset manager focused on providing uncorrelated fixed income investment strategies, executed the first fully-electronic swaption on TW SEF at the end of Q3 2017. Eight swap dealers are live on the platform, with another four in the process of on-boarding.