News Centre

Canadian Regulators Release New Findings And Trends On Women On Boards And In Executive Officer Positions

Date 05/10/2017

The securities regulatory authorities in Alberta, Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Ontario, Québec, Saskatchewan and Yukon (the participating jurisdictions) today published CSA Multilateral Staff Notice 58-309 Staff Review of Women on Boards and in Executive Officer Positions – Compliance with NI 58-101 Disclosure of Corporate Governance Practices.

FINRA Receives SEC Approval To Streamline Competency Exams - Rule Change Expands Entry Opportunities To The Securities Industry

Date 05/10/2017

The U.S. Securities and Exchange Commission (SEC) has approved the Financial Industry Regulatory Authority’s rule proposal to streamline competency exams and expand opportunities for prospective securities professionals seeking to enter or re-enter the securities industry.

Ontario Securities Commission Announces Roundtable Agenda For Third Review Of Women On Boards And In Executive Officer Positions

Date 05/10/2017

The Ontario Securities Commission (OSC) today announced the agenda and list of panellists for the upcoming roundtable on the third review of disclosurerelating to women on boards and in executive officer positions.

ESMA Updates AIFMD And UCITS Q&As

Date 05/10/2017

The European Securities and Markets Authority (ESMA) has published updated questions and answers documents (Q&A) on the application of the Undertakings for the Collective Investment in Transferable Securities Directive (UCITS) and the Alternative Investment Fund Managers Directive (AIFMD).

EBA Publishes Work Programme For 2018

Date 05/10/2017

The European Banking Authority (EBA) published today its detailed annual work programme for 2018, describing the specific activities and tasks of the Authority for the coming year, as well as a multiannual work programme, highlighting the key strategic areas of work from 2018 to 2021.

Q3 On The Vienna Stock Exchange: Rising Prices And Turnover

Date 05/10/2017

• Average monthly turnover hits highest level since 2010 at EUR 5.5 billion
• Market capitalization at highest level since 2008, 40% higher year on year
• Heading for a new record number of orders executed on stock exchange

EBA Updated Risk Dashboard Shows Slight Improvement Of EU Banks Capital Level But NPLs Still Affect Their Profitability

Date 05/10/2017

The European Banking Authority (EBA) published today a periodical update of its Risk Dashboard summarising the main risks and vulnerabilities in the EU banking sector through a set of Risk Indicators in Q2 2017. The progress is positive, but risks remain heightened on asset quality and sustainable profitability.

ESMA Maintains Focus On Supervisory Convergence And Risk Assessment In 2018

Date 05/10/2017

The European Securities and Markets Authority (ESMA) has published its 2018 Work Programme (WP), which sets out its priorities and areas of focus for 2018 in support of its mission to enhance investor protection and promote stable and orderly financial markets.

SEC: Investment Adviser Charged In Multi-Million Dollar Options Trading Scheme

Date 05/10/2017

The Securities and Exchange Commission today charged a Westchester, New York-based investment adviser with fraud stemming from lies to retail investors about the value of their investments in a Ponzi-like scheme.

Kaizen Wins Best Compliance And Regulatory Solution At Fund Services Awards

Date 05/10/2017

Kaizen Reporting is celebrating after its ReportShield™ quality assurance testing service was awarded the Best Compliance & Regulatory Solution at this year’s Fund Services Awards, held in London this week.