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ETFGI Reports Assets Invested In ETFs/ETPs Listed Globally Reached A New Record High Of 3.143 Trillion US Dollars At The End Of May 2016

Date 09/06/2016

ETFGI the leading independent research and consultancy firm on trends in the global ETF/ETP ecosystem, today reported assets invested in ETFs/ETPs listed globally reached a new record high US$3.143 trillion at the end of May 2016, according to preliminary data from ETFGI’s May 2016 global ETF and ETP industry insights report. (click here to view the ETFGI global asset growth chart).
Bursa Malaysia Extends Green Lane Policy To Futures Brokers And General Clearing Participants - Promoting Better Self Regulation And Shorter Time To Market

Date 09/06/2016

Effective 16 June 2016, Bursa Malaysia will extend the ‘Green Lane Policy’ to the eligible futures brokers and eligible general clearing participants to commence their activities with only a notification process to Bursa Malaysia Derivatives Berhad and Bursa Malaysia Derivatives Clearing Berhad respectively.
ASX Investor Presentation At The Sandler O'Neill Global Exchange And Brokerage Conference

Date 09/06/2016

Attached is a copy of an investor presentation to be delivered by ASX’s Deputy CEO at the Sandler O’Neill Global Exchange and Brokerage Conference in New York City on 9 June 2016 (US time).
SIFMA Launches State-By-State Capital Markets Database

Date 09/06/2016

SIFMA has launched an interactive database that displays information about the capital markets in each state. The database is designed to be a resource for audiences seeking to learn more about capital markets and their impact on states’ economic growth, infrastructure and innovation.
CFTC Swaps Report Update

Date 08/06/2016

CFTC's Weekly Swaps Report has been updated, and is now available.

SEC: Ethiopia’s Electric Utility Sold Unregistered Bonds In U.S.

Date 08/06/2016

The Securities and Exchange Commission today announced that Ethiopia’s electric utility has agreed to pay nearly $6.5 million to settle charges that it violated U.S. securities laws by failing to register bonds it offered and sold to U.S residents of Ethiopian descent.
FINRA Sanctions Oppenheimer & Co. $2.9 Million For Unsuitable Sales Of Non-Traditional ETFs And Related Supervisory Failures

Date 08/06/2016

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay restitution of more than $716,000 to affected customers for selling leveraged, inverse and inverse-leveraged exchange-traded funds (non-traditional ETFs) to retail customers without reasonable supervision, and for recommending non-traditional ETFs that were not suitable.
SEC: Morgan Stanley Failed To Safeguard Customer Data

Date 08/06/2016

The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online.
Bursa Malaysia Announces Constituent Additions To ESG Index- June 2016 Review

Date 08/06/2016
- Total FTSE4Good Bursa Malaysia Index constituents grew from 34 to 39
- 5 new inclusions
An Announcement Of The Issuance Of The Board Of The Saudi Arabia Capital Market Authority's Resolution To Adopt The Amended Investment Funds Regulations

Date 08/06/2016

As part of the Capital Market Authority's efforts to develop the capital market in the kingdom of Saudi Arabia, and regulate and monitor the work and activities of entities subject to its supervision and control through the issuance of implementing regulations and rules governing the Saudi market, and based on the Capital Market Law issued by the Royal Decree Number (M/30) Dated 2/6/1424H, the CMA Board has issued its Resolution that includes the following: