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ASIC Remakes Instruments That Affect Financial Reporting

Date 16/10/2015

Following public consultation, ASIC has remade five legislative instruments that affect financial reporting by particular types of entities.
Japan Exchange Group Earnings Conference - FY2015 (April 1, 2015 – March 31, 2016)

Date 16/10/2015

To be announced on October 30, 2015, between 12:00 and 13:00 (JST)
Earnings Conference to be held on November 2, 2015
SIFMA AMG Calls For Permanent CFTC Relief For Package Transactions

Date 16/10/2015

SIFMA’s Asset Management Group today released the following statement from Laura Martin, managing director and associate general counsel, after the U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) announced a further extension of no-action relief from swap execution facility (SEF) trading requirements for certain swaps executed as part of a package transaction:
How Can The Markets Best Adapt To The Rapid Growth Of ETFs, SEC Commissioner Luis A. Aguilar, Oct. 15, 2015

Date 16/10/2015

Thank you and good morning. I want to extend a warm welcome to the members of the Investor Advisory Committee (“IAC”). I look forward to your discussions today. I appreciate the important work that you do and, in turn, how this work facilitates the SEC’s efforts to fulfill its core mission. I also want to welcome the audience, whether you are participating in person or remotely.
Opening Remarks To The Investor Advisory Committee, SEC Chair Mary Jo White, Oct. 15, 2015

Date 16/10/2015

Good morning and welcome. Thank you all for being here. I would like to welcome our new members to the committee, Bill Lee, Lisa Fairfax, and Matt Furman. Thank you for agreeing to serve. Having strong members on this committee with varying perspectives and experience is what makes it such a strong and useful committee.

FINRA Solicits Comment On Proposed Rules Addressing Financial Exploitation Of Seniors - FINRA Solicits Comment On Proposed Rules Addressing Financial Exploitation Of Seniors

Date 15/10/2015

The Financial Industry Regulatory Authority (FINRA) today issued Regulatory Notice 15-37requesting comment on proposed rules addressing the financial exploitation of seniors and other vulnerable adults. FINRA is proposing amendments that would require firms to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer's account. In addition, FINRA is proposing a new rule that would permit firms to place a temporary hold on a disbursement of funds or securities when there is reasonable belief of financial exploitation, and to notify the trusted contact of the temporary hold.
CFTC’s Market Risk Advisory Committee To Meet On November 2, 2015

Date 15/10/2015

The U.S. Commodity Futures Trading Commission’s (CFTC) Market Risk Advisory Committee (MRAC) will hold a public meeting on November 2, 2015 at CFTC’s headquarters in Washington, D.C.
The MiG Report - Toronto Stock Exchange And TSX Venture Exchange

Date 15/10/2015

Please click here for the September 2015 MiG Report.
NYSE Welcomes First Data Corporation, Largest U.S. IPO Of 2015

Date 15/10/2015

Payment technology company First Data Corporation (NYSE: FDC) began trading today on the New York Stock Exchange (NYSE) under the ticker symbol “FDC,” after its initial public offering. First Data raised $2.5 billion in gross proceeds and is the largest U.S. IPO of the year. Barclays is the NYSE Designated Market Maker for the company’s stock.
Erik Thedéen New Director General Of Finansinspektionen

Date 15/10/2015

The Government has today appointed Erik Thedéen as the new Director General of Finansinspektionen. Erik Thedéen is the former CEO of KPA Pension and has previously worked at The Swedish Ministry of Finance, Nasdaq OMX (Stockholmsbörsen) and the Swedish National Debt Office.