The Stock Exchange of Thailand (SET) has signed a memorandum of understanding (MOU) with The Securities and Exchange Commission (SEC) and alliances in Thailand’s mutual fund industry. The MOU is aimed at establishing standards across end-to-end processes for mutual fund distribution. SET will implement a centralized platform, expected to be launched in early 2017.
read more...Thai Bourse Joins SEC And Mutual Fund Participants To Launch New Fund Service Platform
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European Commission Adopts Equivalence Decision For CCPs In USA
The European Commission grants the USA the equivalent regulatory regime for central counterparties as the European Union.
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ETFs/ETPs Listed In The United States Have Gathered 1.53 Billion US Dollars In Net New Assets In February 2016, According To ETFGI
In February 2016, ETFs/ETPs listed in the United States gathered net inflows of US$1.53 Bn in February 2016, according to preliminary data from ETFGI’s February 2016 global ETF and ETP industry insights report.
In the United States the ETF/ETP industry had 1,863 ETFs/ETPs, assets of US$2.02 Bn, from 95 providers listed on 3 exchanges at the end of February 2016. (click here to see ETFGI’s chart of United States listed ETF/ETP asset growth)
“February was another volatile month for equity markets which drove investors to invest net flows into government bonds and gold. The S&P 500 closed the month down 0.13%. Despite recent uncertainty, emerging markets gain 0.31% in February, while developed markets outside of the U.S. declined 1%.” according to Deborah Fuhr, managing partner at ETFGI.
In February 2016, ETFs/ETPs listed in the United States gathered net inflows of US$1.53 Bn. Fixed income ETFs/ETPs gathered the largest net inflows with US$10.47 Bn, followed by commodity ETFs/ETPs with US$5.62 Bn, while equity ETFs/ETPs suffered net outflows of US$15.34 Bn
The net inflows of US$ 5.62 Bn into Commodity ETFs/ETPs in February 2016 is a record high. The previous record was $4.28 Bn in September 2012.
Vanguard gathered the largest net ETF/ETP inflows in February with US$3.58 Bn, followed by iShares with US$1.98 Bn and SPDR ETFs with US$1.24 Bn net inflows.
YTD, Vanguard gathered the largest net ETF/ETP inflows YTD with US$7.36 Bn, followed by SPDR ETFs with US$1.88 Bn and iShares with US$1.71 Bn net inflows.
S&P Dow Jones has the largest amount of ETF/ETP assets tracking its benchmarks reflecting 33.5% market share; MSCI is second with 14.4% market share, followed by FTSE Russell with 13.6% market share.
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ICE Clear Credit Launches Asian Corporate Index And Sovereign CDS Clearing - YTD Buy Side Single Name Notional Amount Cleared Surpasses Total 2015 Notional
Intercontinental Exchange (NYSE: ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, introduced credit default swap (CDS) clearing today for the iTraxx Australia and iTraxx Asia ex-Japan Investment Grade indices, and the following sovereign names: Australia, China, Indonesia, Korea, Malaysia and the Philippines.
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UK's Financial Conduct Authority: Phillip Boakes Sentenced For Failing To Pay Confiscation Order
Today, Phillip Boakes was sentenced to 730 days’ imprisonment for failing to satisfy the full value of a confiscation order made against him.
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Kinetix Secures Legal Approval For US/EU Regulatory Engine
Kinetix Trading Solutions, a Compliance and Trade Management solutions provider to capital markets firms, has secured legal approval for its Rules Engine for the EMIR and Dodd-Frank Act regulatory frameworks. Importantly, this allows derivatives market participants to ensure that their trades can be validated with confidence in advance of the mandatory European clearing deadlines that go into effect this June.
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Neurensic And Catelas Deliver Integrated Holistic Surveillance Offering
Catelas®, the leading provider of ‘eComms Surveillance’ solutions, and Neurensic, a funded startup with artificial intelligence-powered compliance tools, announced at SIFMA's Compliance & Legal Society 48th Annual Seminar and FIA’s Inte rnatio nal Futures Industry Conference (Boca) a new partnership to deliver an integrated holistic surveillance solution for asset managers, hedge funds, broker-dealers, exchanges, and regulators.
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Volcker Rule CEO Attestation Delivery Method Announced
The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission (CFTC) today announced that certain banking entities subject to Appendix B of Part 75 of the Commission’s regulations should submit their CEO attestations through the following email address:VolckerAttestation@cftc.gov.
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FINRA Reports On Effective Practices For Digital Investment Advice
Financial services firms' offerings of digital investment advice need sound governance and supervision, including effective means of overseeing suitability of recommendations, conflicts of interest, customer risk profiles and portfolio rebalancing, according to a new report from the Financial Industry Regulatory Authority (FINRA). The report also outlines lessons for investors and says training and education are crucial for financial professionals who use digital investment advice tools.
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SEC: Municipal Advisor Charged For Failing To Disclose Conflict - Case Is First Under Dodd-Frank Provision Creating Fiduciary Duty
The Securities and Exchange Commission today charged Kansas-based Central States Capital Markets, its CEO, and two employees for breaching their fiduciary duty by failing to disclose a conflict of interest to a municipal client. The case is the SEC’s first to enforce the fiduciary duty for municipal advisors created by the 2010 Dodd-Frank Act, which requires these advisors to put their municipal clients’ interests ahead of their own.
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Is Value Coming Back?
Photo Credit: Paw Paw || The excitement of anticipating our friend’s arrival is overcoming our dignity
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UK's Financial Conduct Authority: Former Equities Trader Pleads Guilty To Insider Dealing
Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading. He will be sentenced on 13 June 2016.
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TMX Group: The MiG Report February 2016
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| The MiG Report Year to date February 2016: 26 issuers listed on TSX (15) and TSXV (11) 12 New Companies 4 New CPCs 10 New ETFs $4.5 billion in equity capital was raised on TSX ($4.3B) and TSXV ($238M) Click here for a full list of TSX and TSXV issuers at February 29, 2016. |  |
Announcing the Top-Performing Venture Companies
| With 72% average share price appreciation during 2015, the 2016 Venture 50 shines a spotlight on some of the fastest growing companies on TSXV in the categories of Technology, Mining, Clean Technology and Life Sciences, Diversified Industries and Oil & Gas. |  |
Hosting the World at PDAC
| Toronto Stock Exchange (TSX) and Toronto Venture Exchange (TSXV) were not only Patron sponsors of the annual Prospectors & Developers Association of Canada (PDAC) Convention, we also hosted many of the international delegations that participate in the world's largest mining conference. The event allowed us to connect TSX and TSXV companies with the government officials and the Ministry of Mining from many countries including: Chile, Rwanda, Mali, and Mexico. PDAC provides an important platform for us to facilitate dialogue between our companies and various stakeholders. For further information on the mining sector and opportunities within our markets, please email us at mining@tmx.com. |  |
Upcoming Events / Where We Are
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| Mines and Money Asia - Hong Kong, April 5-7: To schedule a meeting, click here. |
| CAPP Investment Symposium - Toronto, April 12-13: To schedule a meeting, click here. |
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Liquidnet Fixed Income Surpasses $1 Billion Traded - Milestone Achieved Five Months After The Dark Pool Platformâs Launch
Liquidnet, the global institutional trading network, today announced that their Fixed Income dark pool has exceeded $1B of volume traded, after just five months. Designed to provide a seamless solution for buy-side corporate bond traders, Liquidnet’s Fixed Income solution delivers a protected venue where they can trade natural liquidity in size, both safely and efficiently.
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SimCorp Survey Reveals Significant Struggles With Risk And Performance Analytics In The Front Office
A recent survey released by SimCorp, a leading provider of investment management solutions and services for the global financial services industry, has revealed that portfolio managers are facing significant challenges when it comes to data accuracy and risk and performance analytics in the front office. The survey was conducted during a recent webinar hosted by SimCorp titled “Risk & Performance Analytics: Making the Front Office a Better Place.”
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SGX Electricity Market Report
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The Nasdaq Stock Market® Lists NextShares, The First Exchange-Traded Managed Fund - Eaton Vance And Janus Among ETF Issuers To Select Nasdaq As Primary Venue For New Listings In February
Nasdaq (Nasdaq:NDAQ), the single largest U.S. equity exchange by market share, announced during the month of February, the Eaton Vance listing of the first NextShares™ exchange-traded managed fund, and two new enhanced beta ETFs by Janus.
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Singapore Index Futures Impacted By April Dividend Schedule
The MSCI Singapore Index (SiMSCI) is designed to measure the performance of the large and mid-cap segments of the Singapore market. Its 28 constituents include 26 constituents of the Straits Times Index (STI), with STI constituents Hongkong Land, SATS, SIA Engineering and Thai Beverage PLC not a part of the SiMSCI.
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Meg Whitman: Listening to Millennials
Forbes has a great interview with Meg Whitman this week. In it, she talks about listening carefully to millennials in her organization. Here's an excerpt:
Whitman says âentitled is too strong a wordâ to define new graduates, but even that isnât so bad. In fact, the impatience of todayâs youth is useful at a $50 billion sales corporation like Hewlett Packard Enterprise. âThey refuse to work on things that do not matter,â she says. She receives emails frequently from young hires complaining that a project they are working on isnât going anywhere. Thatâs surprising, but itâs also useful. âYou would be surprised how many projects weâve killed because a 22-year-old says, âThatâs stupid,â â Whitman told the audience. âItâs a little annoying honestly.â
I've argued in the past that senior executives need to listen to young people. They hear about new trends, ideas, and perspectives from these people. Moreover, they often represent a key target market for their goods and services. Finally, as one executive told me, "They are stupid enough to tell me the truth." It made me laugh, but it was also a profound statement. He meant that these young people did not worry about offending the boss or losing their job. They were more willing to speak their mind, in a way that some older workers were not in his organization. Young people do not have the experience to always know the right answers on tough issues, but they bring a fresh lens to problems. You do not have to agree with them, or give them their way, but you can learn from them.
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CFTC Charges Two Binary Options Firms With Fraud, Illegal Off-Exchange Activity, And Operating In An Unregistered Capacity
The U.S. Commodity Futures Trading Commission (CFTC) today announced that a federal district court has unsealed a civil Complaint that the CFTC filed with the Northern District of Illinois on February 2, 2016, against two foreign web-based binary options firms, Vault Options, Ltd. (Vault) and Global Trader 365(GT 365), both Israeli web-based companies. The CFTC’s Complaint alleges that the two firms unlawfully solicited and accepted more than $1 million from at least 50 U.S. customers to trade off-exchange binary options contracts, defrauded those customers, and operated as unregistered Futures Commission Merchants (FCMs).
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