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  • US House Of Representatives Passes Most Significant Pro-Growth Financial Regulatory Reform In Generation

    Date 22/05/2018

    Today, the House of Representatives voted 258-159 to pass the “Economic Growth, Regulatory Relief and Consumer Protection Act,” which represents the most significant pro-growth financial regulatory reform package since the passage of Gramm-Leach-Bliley nearly a generation ago.

  • Comptroller Of The Currency Congratulates House On Passage Of Important Regulatory Reforms

    Date 22/05/2018

    Comptroller of the Currency Joseph M. Otting issued the following statement upon passage by the U.S. House of Representatives of Senate Bill 2155, the “Economic Growth, Regulatory Relief and Consumer Protection Act.”

  • CFTC Opens Access For U.S. Customers To Trading In Australian Markets

    Date 22/05/2018

    The Commodity Futures Trading Commission (CFTC) today announced the approval of Australian Securities Exchange Limited’s (ASX 24) application to permit direct access for U.S. customers to trade on its platform. By this order, issued May 15, 2018, ASX 24, a foreign board of trade (FBOT) is registered with the CFTC and allowed to permit members and other participants in the U.S. to trade by direct access on the exchange without having to trade through an intermediary.  In order to be registered with the CFTC, an FBOT must be legally organized under its home country regulatory regime and must be subject to relevant regulations and appropriate supervision.

  • Remarks At The FINRA Annual Conference, Brett Redfearn, SEC Director, Division Of Trading And Markets, Washington D.C., May 22, 2018

    Date 22/05/2018

    I would like to thank Robert Cook for the kind introduction. Thank you also for inviting me to join you at this conference. Today, I am very pleased to be able to discuss with you a topic that has occupied the Division’s thinking for a number of years, and that I am happy to say, the Commission recently took a very significant step forward on—the regulation of broker-dealer advice to retail investors.

  • MIAX Options - FINRA Arbitration Rule Change Notice: Proposed Rule Change To Create A Fee And Honorarium For Late Cancellation Of A Prehearing Conference

    Date 22/05/2018

    FINRA is proposing to amend FINRA Rules 12500 and 12501 of the Code of Arbitration Procedure for Customer Disputes (‘‘Customer Code’’) and FINRA Rules 13500 and 13501 of the Code of Arbitration Procedure for Industry Disputes (‘‘Industry Code’’ and together, ‘‘Codes’’), to charge a $100 per-arbitrator fee to parties who request cancellation of a prehearing conference within three business days before a scheduled prehearing conference. The proposed rule change would also amend FINRA Rules 12214(a) and 13214(a) of the Codes to create a $100 honorarium to pay each arbitrator scheduled to attend a prehearing conference that was cancelled within three business days of the prehearing conference.

  • UK Cryptoassets Taskforce Meets For The First Time

    Date 22/05/2018

    Senior leaders from government and the financial regulators were present, including representatives from HM Treasury, the FCA and the Bank of England.

  • OSC Participates In North American Cryptocurrency Sweep

    Date 22/05/2018

    The Ontario Securities Commission (OSC), in conjunction with securities regulators from the North American Securities Administrators Association (NASAA), recently participated in an initiative to raise awareness about fraudulent and unregistered cryptocurrency-related investment schemes.

  • ESMA: Opinion On Position Limits On ICE Low Sulphur Gasoil 1st Line Contracts

    Date 22/05/2018

    I. Introduction and legal basis

    1. On 9 February 2018, the European Securities and Markets Authority (ESMA) received a notification from the Financial Conduct Authority (FCA) under Article 57(5) of Directive 2014/65/EU on markets in financial instruments1 (“MiFID II”) regarding the exact position limits FCA intends to set for ICE Low Sulphur Gasoil 1st Line Future and Option commodity contract in accordance with the methodology for calculation established in Commission Delegated Regulation (EU) 2017/591 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the application of position limits in commodity derivatives2 (“RTS 21”) and taking into account the factors referred to in Article 57(3) of MiFID II. 2
    2. ESMA’s competence to deliver an opinion is based on Article 57(5) of MiFID II. In accordance with Article 44(1) of Regulation (EU) 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority)3 (“ESMA Regulation"), the Board of Supervisors has adopted this opinion.

  • Sweden's Finansinspektionen: Major Upcoming Changes To Banks’ Credit Risk Modelling

    Date 22/05/2018

    The regulatory and supervisory frameworks for banks’ internal rating based (IRB) approaches will be significantly adjusted over the coming years. The overall objective is to increase the robustness of capital requirements and ensure consistency across banks. Well-functioning IRB models are key to the capital assessment of the larger Swedish banks and hence a supervisory priority for FI.

  • Statement On NASAA’s Announcement of Enforcement Sweep Targeting Fraudulent ICOs And Crypto-Asset Investment Products, SEC Chairman Jay Clayton, May 22, 2018

    Date 22/05/2018

    I applaud our fellow regulators in the United States and Canada who are coordinating and participating in efforts to police fraud in the Initial Coin Offering (ICO) markets.  These state and provincial regulators play a critical role in protecting Main Street investors.