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FIA Launches Interactive FCM Tracker

Date 12/04/2017

FIA announced the launch of a new data product today. The FCM Tracker provides a series of data visualizations that give market participants powerful insights into the ecosystem of U.S. futures commission merchants (FCMs).
Ontario Securities Commission: Investor Advisory Panel’s Annual Report Highlights Work on Conflicted Compensation, Best Interest

Date 12/04/2017

The Investor Advisory Panel (the Panel) today released its 2016 Annual Report summarizing its recommendations, activities, submissions, consultations, and meetings during the calendar year.
FINRA Requests Comment On Rules Impacting Capital Formation - Additional Proposals Include Updates To Rules On Underwriting Arrangements And Desk Commentary

Date 12/04/2017

The Financial Industry Regulatory Authority (FINRA) today requested comment on its rules governing the participation of its member firms in capital raising, as part of a continuing effort to modernize its regulation of those activities while maintaining important protections for investors. The request, part of the FINRA360 initiative, is one of three regulatory notices FINRA issued today related to the capital formation process, with the others seeking comment on proposed amendments to rules for underwriting arrangements and a proposed safe harbor from equity and debt research rules for desk commentary. All three proposals seek to clarify the requirements for FINRA member firms engaged in the capital formation process.
B3: Azul Holds Initial Public Offering

Date 12/04/2017

B3 welcomed airline Azul S.A. (ticker AZUL4) in a ceremony that marked its first initial public offering (IPO) and the start of trading in AZUL4 stock on Corporate Governance Level 2 this Tuesday, April 11.
iMeta Technologies Selects JWG For Regulatory Interpretation Services

Date 12/04/2017

iMeta, a leading global provider of client data management software and services, announced it has selected JWG’s RegDelta platform, the leading regulatory change management platform, to provide a full regulatory rule set for the iMeta Client Lifecycle Management platform.

Call For Papers For The 6th EBA Policy Research Workshop

Date 12/04/2017

The European Banking Authority (EBA) launched today a call for research papers in view of its sixth policy research workshop taking place on 28-29 November 2017 in London on the topic "The future role of quantitative models in financial regulation".
Russell 2000® Index Futures And Options To Return To CME Group July 10 - Six Contracts Based On The Russell 2000® Index As Well As BTIC Functionality Will Be Available For Trade

Date 12/04/2017

CME Group, the world's leading and most diverse derivatives marketplace, today announced that starting July 10, 2017, CME Group will launch both futures and options based on the Russell 2000® Index, as well as basis trade at index close (BTIC) functionality on the futures contracts, pending regulatory approval.
CFTC Announces N. Charles Thornton III As Director Of The Office Of Legislative Affairs

Date 12/04/2017

U.S. Commodity Futures Trading Commission Acting Chairman J. Christopher Giancarlo today announced that N. Charles “Charlie” Thornton III has been named the Commission’s Director of the Office of Legislative Affairs. Mr. Thornton comes to the CFTC from the United States Senate Agriculture, Nutrition, and Forestry Committee where he served as Senior Professional Staff and Counsel. Mr. Thornton will assume his duties on April 17, 2017.
3rd Singapore-Shanghai Financial Forum Takes Financial Collaboration To New Heights

Date 12/04/2017

The Monetary Authority of Singapore (MAS) and Shanghai Municipal Financial Services Office (SFSO) held the 3rd Singapore-Shanghai Financial Forum (SSFF) in Singapore today. The SSFF is an annual forum that brings together industry participants from Singapore and Shanghai to discuss pertinent market developments and explore financial collaboration opportunities.
Hong Kong's Securities And Futures Commission Reprimands And Fines iSTAR International Futures Co. Limited $3 Million Over Anti-Money Laundering-Related Internal Control Failures

Date 12/04/2017

The Securities and Futures Commission (SFC) has reprimanded iSTAR International Futures Co. Limited, now known as Rifa Futures Limited (Rifa), and fined it $3 million over failures to comply with anti-money laundering regulatory requirements when processing third party fund transfers.