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Statement On The Commission’s Consideration Of The Public Company Accounting Oversight Board’s Proposed 2016 Budget And Accounting Support Fee, SEC Commissioner Kara M. Stein, March 14, 2016
Date 14/03/2016
Opening Remarks at Open Meeting to Consider PCAOB Proposed Budget and Accounting Support Fee for 2016 white-remarks-open-meeting-pcaob-031416
I want to extend my thanks to the team in the Office of the Chief Accountant that works every day with the Public Company Accounting Oversight Board (“PCAOB”) to protect investors, including Jim Schnurr, Brian Croteau, Kevin Stout, Mark Jacoby, Khalid Shah, and Matt Hodder, and to the team in our Office of Financial Management, Ken Johnson, Caryn Kauffman, Richard Taylor, Nicole Puccio, Crystal Willis, and Yolanda Dews.
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Keynote Address Of CFTC Commissioner J. Christopher Giancarlo Before The National Grain And Feed Association Annual Conference - “What Washington Giveth, Washington Can Taketh Away”
Date 14/03/2016
Good morning, ladies and gentlemen. Thank you for your warm welcome. Before I begin, let me say that my remarks reflect my own views and do not necessarily constitute the views of the Commodity Futures Trading Commission (CFTC or Commission), my fellow CFTC commissioners or the CFTC staff.
At the outset, let me be very transparent. I am a life-long New Jerseyan. Although agriculture is an important part of New Jersey’s economy, I worked in New York City and London for most of my career, first as a lawyer, and then as an executive for a financial firm that operated trading platforms for derivatives. I did not grow up on a farm.
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Remarks To The Investment Company Institute’s 2016 Mutual Funds And Investment Management Conference, David W. Grim, Director, SEC Division Of Investment Management, Orlando, Florida, March 14, 2016
Date 14/03/2016
Introduction
Good morning, everyone, and thank you, David, for that kind introduction, as well as for inviting me to speak here today. Before I begin, let me remind everyone that the views I express here today are solely my own, and do not necessarily reflect the views of the Commission, the Commissioners, or any of my colleagues on the staff of the Commission.
I am very pleased to be here with all of you today, and to deliver the keynote address for this year’s conference. It is also a pleasure to be joined at the conference by several of my colleagues from the Commission’s staff, who will participate in a number of panels over the next few days. In addition to staff members from other Divisions at the Commission, you’ll have the opportunity to hear from several talented and experienced members of the Division of Investment Management. They include Diane Blizzard, Associate Director of the Division’s Rulemaking office, who will anchor the regulatory panel for, I believe, the third year running; Sarah ten Siethoff, an Assistant Director in our Rulemaking office, who will participate in what I am sure will be an informative discussion of liquidity risk management; Matt Giordano, the Division’s Chief Accountant, who will update you on various accounting matters; Chris Stavrakos, a senior analyst in our Risk and Examinations office, who will discuss the Commission’s data analytics initiatives; and Dan Townley, an Attorney Fellow in our New York office, who will discuss the use of derivatives. I know each of them will have useful insights to offer on these and other topics.
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Bats Successfully Operates U.S. Businesses From Disaster Recovery Site As Part Of Business Continuity Planning Process - Company Headquarters Taken Completely Offline March 10th
Date 14/03/2016
Bats Global Markets (Bats), a leading operator of exchanges and services for financial markets globally, announced the successful and total operation of its U.S. markets from its Kansas City-area disaster recovery (DR) site yesterday as part of its ongoing Business Continuity Planning (BCP) process.
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MIAX Options Holiday Schedule - Good Friday 2016
Date 14/03/2016
Please be advised the MIAX Options Exchange will be closed on Friday, March 25, 2016 in observance of Good Friday. Weekly Options Expiration for the week ending Friday, March 25, 2016 will take place on Thursday, March 24, 2016.
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ETFs/ETPs Listed Globally Have Gathered 10.80 Billion US Dollars In Net New Assets In February 2016, According To ETFGI
Date 14/03/2016
ETFs/ETPs listed globally have gathered US$10.80 in net new assets in February 2016, according to preliminary data from ETFGI’s February 2016 global ETF and ETP industry insights report. ETFs/ETPs listed globally have now gathered net inflows for 25 consecutive months.
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Moscow Exchange: Futures And Options - Final Settlement Schedule, March 2016
Date 14/03/2016
1 March The last trading day and settlement during the evening clearing:Brent oil futures and options (BR) and raw sugar futures (SUGR).The evening trading session starts at 19:05 MSK. -
Hong Kong's Securities And Futures Commission Reprimands Unicorn Securities Company Limited And Fines It And Its Former Responsible Officer $3.2 Million
Date 14/03/2016
The Securities and Futures Commission (SFC) has reprimanded Unicorn Securities Company Limited (Unicorn Securities) and fined it and its former responsible officer, Mr Chan Hoi Shu, $3 million and $200,000, respectively, relating to failures in handling clients’ money and securities.
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Deutsche Börse Venture Network Passes 200-Member Mark - Sharp Rise In Number Of Foreign Participants - Investor Networking For The First Time In London And Once Again In The US
Date 14/03/2016
Deutsche Börse Venture Network, Deutsche Börse’s programme to fund young growth companies, has passed the 200-member mark nine months after its launch. The Network has gained 31 investors and 10 growth companies since the beginning of this year. Specifically the number of participants from outside Germany, currently at 81, has seen a particularly large increase. In total, there currently are 60 growth companies and 142 investors active in the Deutsche Börse Venture Network.
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Koris International Grants An Exclusive License Of The TrackInsight A-List To Turquoise For The Creation Of A Trading Segment Dedicated To European Highest Rated ETFs
Date 14/03/2016
Koris International (“Koris”), an investment advisory firm, today announces the signing of a cooperation agreement granting Turquoise Global Holdings Limited (“Turquoise”) an exclusive license of the TrackInsight A-list for the creation of a dedicated Turquoise TrackInsight™ ETF trading segment.
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