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Michael J. Osnato Jr., Chief Of Enforcement Division’s Complex Financial Instruments Unit, To Leave SEC

Date 12/01/2017

The Securities and Exchange Commission today announced that Michael J. Osnato Jr., Chief of the Enforcement Division’s Complex Financial Instruments Unit, is planning to leave the agency later this month.
Fourth Measure From SelectMilan’s Reform Programme Adopted In Milan - Italy’s Financial Regulator (CONSOB) Establishes Arbitration For Financial Disputes

Date 12/01/2017

On 9 January 2017 Italy’s financial regulator (CONSOB) established a new body called the Arbitration for Financial Disputes.
IIROC Issues Compliance Priorities Report For 2016/2017 - Signals Key Surveillance And Exam Priorities For Coming Year

Date 12/01/2017

The Investment Industry Regulatory Organization of Canada (IIROC) today published its annual Compliance Priorities Report outlining its key compliance and registration priorities for 2017. The priorities stem from new risks and trends, results of targeted reviews and surveys, and concerns about recurring/significant examination deficiencies.
U.S. Department Of Justice: Second Foreign Currency Exchange Dealer Pleads Guilty To Antitrust Conspiracy

Date 12/01/2017

A foreign currency exchange (FX) dealer became the second person to plead guilty to conspiring to fix prices in the FX market, the Justice Department announced today.
SEC Announces 2017 Examination Priorities - New Areas Of Focus Include Electronic Investment Advice, Money Market Funds, And Senior Investors

Date 12/01/2017

The Securities and Exchange Commission today announced its Office of Compliance Inspections and Examinations’ (OCIE) 2017 priorities. Areas of focus include electronic investment advice, money market funds, and financial exploitation of senior investors. The priorities also reflect a continuing focus on protecting retail investors, including individuals investing for their retirement, and assessing market-wide risks.

Multiple Industry Sectors Push Canadian Securities Exchange Trading Volume, Financings To New Records In Third Quarter Of 2016

Date 12/01/2017

The Canadian Securities Exchange (CSE) today released performance metrics for the third quarter of 2016 highlighting continued strong growth, particularly in trading volume and capital raised by CSE listed companies. Both measures rose to the highest levels ever recorded by the exchange.
The Nasdaq Stock Market® Led US Listing Exchanges With 38 Percent Of U.S. ETP Listings And Switches In 2016 - 122 Products Listed On Nasdaq As Primary Venue

Date 12/01/2017

Nasdaq (Nasdaq:NDAQ), the single largest U.S. equity exchange by market share, announced 70 new exchange-traded products (ETP) listings and 52 switches in 2016, bringing Nasdaq’s total ETP new listings to 122. Closing out 2016, Nasdaq now has a total of 328 products listed, marking an increase of 50 percent compared to 2015. In the fourth quarter, nine ETPs listed and 27 products switched to Nasdaq from other U.S. exchanges. For the year, 38 percent of new ETP listings and switches across all U.S. exchanges listed on Nasdaq, and 56 of these new listings track a Nasdaq index.
SEC: BNY Mellon Settles Charges Stemming From Miscalculations Of Regulatory Capital Figures

Date 12/01/2017

The Securities and Exchange Commission today announced that BNY Mellon has agreed to pay a $6.6 million penalty to settle charges stemming from miscalculations of its risk-based capital ratios and risk-weighted assets reported to investors.
qbeats' Dynamic Content Pricing Goes Live With CME Direct - Chicago Merc Becomes First Global Exchange To Adopt qbeats QMV(TM) Technology

Date 12/01/2017

qbeats announced today that its multi-patented QMV(TM), a dynamic content valuation and pricing system bringing the value of content to life, has gone live with CME Direct, the highly-configurable trading front end for all listed CME Group markets. CME Group (NASDAQ: CME), the world's leading and most diverse derivatives exchange, will become the first full marketplace to offer premium financial content for purchase powered by qbeats' QMV, an AI-based machine-learning platform that parses, ranks, and dynamically values digital content based on impact and demand.
SEC: Biomet Charged With Repeating FCPA Violations

Date 12/01/2017

The Securities and Exchange Commission today announced that a Warsaw, Ind.-based medical device manufacturer has agreed to pay more than $30 million to resolve parallel SEC and Department of Justice investigations into the company’s repeat violations of the Foreign Corrupt Practices Act (FCPA).