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Canadian Securities Regulators Publish Guidance For Portfolio Managers Working With Investment Dealers

Date 17/11/2016

The Canadian Securities Administrators (CSA) today published CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members. The notice provides information and guidance for CSA-regulated portfolio managers who enter into custody and trading arrangements with dealer members of the Investment Industry Regulatory Organization of Canada (IIROC).
Deutsche Börse: Unscheduled Adjustment In TecDAX - Adjustments To The Free Float And Share Class Of AIXTRON SE To Be Replaced - Changes To Be Effective As Of 22 November 2016

Date 17/11/2016

On Thursday, Deutsche Börse announced an unscheduled change to TecDAX. As a result of the expected acquisition of AIXTRON SE by Grand Chip Investment GmbH, the tendered share line of AIXTRON SE (ISIN DE000A2BPYT0) in the index will be deleted and replaced with the prior AIXTRON SE share line (ISIN DE000A0WMPJ6). This change is due to the end of the final tender period of the acquisition from 10 November 2016. This process ensures that the relevant criteria of index continuity and tradability are upheld.
MIAX Options Exchange: Rule Change Notice—FINRA Arbitration Rules 12504 And 13504

Date 17/11/2016

FINRA has received approval to amend Rule 12504, Code of Arbitration Procedure for Customer Disputes and Rule 13504, Code of Arbitration Procedure for Industry Disputes relating to motions to dismiss in arbitration.
‘The Winners Of The 4th European Small And Mid-Cap Awards’

Date 17/11/2016

FESE and EuropeanIssuers in cooperation with the European Commission (DG GROW) are delighted to announce the winners of the 4th European Small and Mid-Cap Awards.
2016 Government-Business Forum On Small Business Capital Formation Opening Remarks, SEC Commissioner Kara M. Stein, Nov. 17, 2016

Date 17/11/2016

Good morning. Welcome to the annual Government-Business Forum on Small Business Capital Formation. I would also like to thank Sebastian and his team for all their work in putting the forum together.

BM&FBOVESPA Has Opened The Second Phase Of Public Hearings For The Special Corporate Governance Segment’s Development Process - Exchange Is Receiving Comments Until January 06, 2017. Closed Hearings Begins March 15, 2017

Date 17/11/2016

BM&FBOVESPA has opened until January 06, 2017, the second phase of public hearings to discuss with listed companies, investors, intermediaries, and market bodies a new proposal for regulations for the Special Corporate Governance Segments (Novo Mercado and Level 2 corporate governance). The new schedule also foresees Closed Hearings from March 15, 2017 until May 31, 2017, and a voting period for listed companies from June 01, 2017 until June 30, 2017.
EEX New Participant: Flow Traders B.V

Date 17/11/2016

Flow Traders B.V. has been admitted to exchange trading for Phelix Futures and Options, Belgian Financial Power Futures, Dutch Financial Power Futures, French Financial Power Futures and Options, Greek Financial Power Futures, Italian Financial Power Futures and Options, Nordic Financial Power Futures and Options, Romanian Financial Power Futures, Spanish Financial Power Futures and Options, Swiss Financial Power Futures, UK Financial Power Futures, German Intraday Cap Futures, Futures and Options on Emission Rights, Financial Futures on Agricultural Products and Coal Futures (USD).
Financial Stability Board Agrees 2017 Workplan

Date 17/11/2016

The Financial Stability Board (FSB) met in London today to discuss current vulnerabilities ongoing policy work and its work plan for 2017.
OCC Comment Letter: Extension Of The Transitional Periods Related To Own Funds Requirements For Exposures To Central Counterparties

Date 17/11/2016

As an update to its application to be recognized as a Qualifying Central Counterparty, OCC submitted a comment letter on November 16^th to the European Commission supporting their draft regulation to push back the effective date of the EU Capital Requirements Regulation from December 15, 2016, to June 15, 2017. The proposed delay would afford the EC and the U.S. Securities and Exchange Commission more time to negotiate an equivalency determination for the SEC’s CCP regulatory regime. Without the delay, OCC’s clearing members affiliated with European banks or other European financial institutions would be subject to significantly higher capital charges under the EU Capital Requirements Regulation.
Thomson Reuters Eikon Platform Helps Investors Identify Timely Litigation Risks With The Addition Of Westlaw Court Filing Data - Court Wire App Taps Westlaw Data To Deliver Litigation Intelligence And Inform Trading Decisions

Date 17/11/2016

Investors can now find real-time insight into whether an entity, market or industry is the subject of litigation at the exact time a lawsuit is filed – and assess the likely impact on its stock price – with the Court Wire app, a unique product offering to the investor community available on Eikon, Thomson Reuters flagship financial markets desktop.