Category: Regulations

TORONTO – Members of the Canadian Securities Administrators (CSA) today published for comment proposed amendments designed to streamline and internationally harmonize over-the-counter derivatives data reporting standards. These amendments are expected to reduce the complexity of market participants’ reporting systems and decrease ongoing operational and compliance costs while improving the consistency and quality of the data […]

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Retail Estates, ISIN BE0003720340 , on Euronext Brussels is suspended on the request of the company from 09/06/2022 at 11:14 CET until the publication of a press release. […]

This press release is not available in English. Please consult the French or Dutch site. Source: FSMA

The FSMA informs the relevant firms of the incorporation of the ESMA Guidelines on outsourcing to cloud service providers into its supervisory practice and the measures that those firms have to take. Read more in the FSMA’s communication on the ESMA Guidelines (available in French and Dutch only) Source: FSMA

Secondary Markets Advisory Committee members: Alex Skrine (Director of Electronic Trading at Winterflood Securities) Christopher Murphy (Co-founder & CEO at Ediphy Group) Daniel Mayston (Managing Director, EMEA Head of Electronic Trading and Market Structure at Blackrock) David Furlong (CEO at Virtu Financial Ireland) Edward Wicks (Global Head of Trading at L&G Investment Management) Elisa Menardo […]

The Financial and Consumer Services Commission of New Brunswick (FCNB) is excited to announce the launch of a new website dedicated to helping older adults prepare for and protect their retirement.  The new website, Finances50Plus.FCNB.ca, is designed with accessibility in mind and will house information that will be of interest to older adults, their friends, […]

FCNB is excited to announce the launch of a new website dedicated to helping older adults prepare for and protect their retirement. Finances 50+ includes industry specific tools and information to help financial professionals and those working with older adults: understand their responsibilities when working with older and vulnerable clients recognize common situations that may […]

Regulated Industries FCNB is responsible for the regulation and enforcement of securities, insurance, pensions, credit unions, trust and loan companies, co-operatives, mortgage brokers, pay day lenders, real estate and a wider range of other consumer legislation. We regulate 36,000 industry participants who make their living working with New Brunswickers’ money. These industry participants handle more […]

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to: (i) require members to report electronically executed transactions in U.S. Treasury Securities to FINRA’s Trade Reporting and Compliance Engine (“TRACE”) in the finest increment captured by the system […]

Washington, D.C. — The Commodity Futures Trading Commission today announced it has filed a complaint in the U.S. District Court for the Southern District of New York against Gemini Trust Company, LLC (Gemini), based in New York, N.Y., for making false or misleading statements of material facts or omitting to state material facts to the […]