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Final Rule: Investment Company Reporting Modernization
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 200, 210, 232, 239, 240, 249, 270, 274 [Release Nos. 33-10231; 34-79095; IC-32314; File No. S7-08-15] RIN 3235-AL42 INVESTMENT COMPANY REPORTING MODERNIZATION AGENCY: Securities and Exchange Commission. ACTION: Final rule. SUMMARY: The Securities and Exchange Commission is adopting new rules and forms as well as amendments to its rules and forms to modernize the reporting and disclosure of information by registered investment companies. The Commission is adopting new Form N-PORT, which will require certain registered investment companies to report information about their monthly portfolio holdings to the Commission in a structured data format. In addition, the Commission is adopting amendments to Regulation S-X, which will require standardized, enhanced disclosure about derivatives in investment company financial statements, as well as other amendments. The Commission is adopting new Form N-CEN, which will require registered investment companies, other than face-amount certificate companies, to annually report certain census-type information to the Commission in a structured data format. The Commission is adopting amendments to Forms N-1A, N-3, and N-CSR to require certain disclosures regarding securities lending activities. Finally, the Commission is rescinding current Forms N-Q and N-SAR and amending certain other rules and forms. Collectively, these amendments will, among other things, improve the information that the Commission receives from investment companies and assist the Commission, in its role as primary regulator of investment companies, to better fulfill its mission of protecting investors, maintaining fair, orderly and efficient markets, and facilitating capital formation. -
FIRDS Reference Data Reporting Instructions
Reporting Instructions FIRDS Reference Data System 17 September 2020 | ESMA 65-11-1193 Date: 17 September 2020 ESMA 65-11-1193 Document control: Version Date Author Comments 1.0 26/10/2016 ESMA Version 1 for publication 1.1 12/06/2017 ESMA Version 1.1 for publication 2.0 31/10/2018 ESMA Changes applicable to the major maintenance release planned Q1 2019 – XML Schema 1.1.0 Corrections and clarifications 2.1 02/09/2019 ESMA Removal of SI’s and APA’s requirement to report Non-Working days New CFI based validations 02082019 2.2 25/08/2020 ESMA Cancellation of records New CFI based validations 02/03/2020 2.3 17/09/2020 ESMA Cancellation of records - Updated Reference documents: Ref Title Version Author Date 1 MiFIR - REGULATION (EU) No 600/2014 European 15 May 2014 600/2014 OF THE Parliament EUROPEAN PARLIAMENT Council of AND OF THE COUNCIL of 15 Europe May 2014 (Article 27) 2 MAR - REGULATION (EU) No 596/2014 European 16 April 2014 596/2014 OF THE Parliament EUROPEAN PARLIAMENT Council of Europe AND OF THE COUNCIL of 16 April 2014 (Article 4) 3 MiFIR RTS – REGULATION 600/2014 European 14 July 2016 (EU) No 600/2014 OF THE Parliament EUROPEAN PARLIAMENT Council of Europe AND OF THE COUNCIL of 14 July 2016 ESMA • CS 60747 – 201 - 203 rue de Bercy • 75012 • Paris France • Tel. +33 (0) 1 58 36 43 21 • www.esma.europa.eu 2 Date: 17 September 2020 ESMA 65-11-1193 4 MAR RTS – COMMISSION 909/2016 European 1 March 2016 DELEGATED REGULATION (EU) Parliament 2016/909 of 1 March 2016 Council of supplementing Regulation (EU) Europe No 596/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the content of notifications to be submitted to competent authorities and the compilation, publication and maintenance of the list of notifications ESMA • CS 60747 – 201 - 203 rue de Bercy • 75012 • Paris France • Tel. -
Proposed Work Program As of February 2021
BUREAU OF PHILIPPINE STANDARDS PROPOSED WORK PROGRAM AS OF FEBRUARY 2021 SUBJECT PROJECT REFERENCE STATUS STAGES OF DEVELOPMENT INTERNATIONAL TECHNICAL COMMITTEE [New/Revision 1. Preparatory CLASSIFICATION FOR (Amd./Cor.)/ 2. Organization Meeting STANDARDS Reconfirmation] 3. Drafting/Deliberation 4. Circulation 5. Finalization 6. Approval 7. Published BUILDING, CONSTRUCTION, MECHANICAL AND TRASPORTATION PRODUCTS BPS/TC 5 Concrete, Reinforced Concrete and Standard Specification for Grout for Masonry DPNS ASTM C476:2021 New Circulation 91.100.30 Prestressed Concrete BPS/TC 5 Concrete, Reinforced Concrete and Standard Specification for Mortar for Unit Masonry DPNS ASTM C270:2021 New Circulation 91.100.30 Prestressed Concrete Standard Test Method for Flexural Strength of Concrete BPS/TC 5 Concrete, Reinforced Concrete and DPNS ASTM C78 / C78M:2021 New Circulation 91.100.30 (Using Simple Beam with Third-Point Loading) Prestressed Concrete BPS/TC 5 Concrete, Reinforced Concrete and Terminology Relating to Concrete and Concrete Aggregates DPNS ASTM C125:2021 Revision Circulation 91.100.30 Prestressed Concrete BPS/TC 5 Concrete, Reinforced Concrete and Practice for Capping Cylindrical Concrete Specimens DPNS ASTM C617/C617M:2021 New Circulation 91.100.30 Prestressed Concrete Practice for Preparing Precision and Bias Statements for BPS/TC 5 Concrete, Reinforced Concrete and DPNS ASTM C670:2021 New Circulation 91.100.30 Test Methods for Construction Materials Prestressed Concrete Practice for Agencies Testing Concrete and Concrete BPS/TC 5 Concrete, -
Isofocus #142
#142 focusYour gateway to International Standards Innovation GENERATION 16 : ESA Photo ISOfocus September-October 2020 – ISSN 2226-1095 ISOfocus, the magazine of the International Organization for Standardization, is published six times a year. You can discover more content on our Website at iso.org/isofocus, or by staying connected with us on : TWITTER FACEBOOK YoutubeFlickrlinkedin Head of Communication | Vanessa Von der Mühll Editor-in-Chief | Elizabeth Gasiorowski-Denis 30 Writers | Ann Brady, Barnaby Lewis, Kath Lockett, Clare Naden, Roxanne Oclarino Copy editor and Proofreader | Vivienne Rojas Designers | Xela Damond, Pierre Granier, Alexane Rosa Translation team | Leïla Esteban, Alexandra Florent Subscriptions and back issues If you enjoy ISOfocus, you can download the pdf for free or subscribe to receive printed issues through our Website iso.org/isofocus. You can also contact our customer service at [email protected]. Contributions You can participate in creating this magazine. If you think your contribution can add value to any of our sections, please get in touch at [email protected]. Views expressed are those of the respective contributors and are not necessarily 38 those of ISO or any of its members. © ISO 2020 Published in Switzerland. All rights reserved. Articles in this magazine may be reproduced for non-commercial purposes only. These may not be modified and must be properly referenced, with due credit to ISO being given. ISO may revoke this permission at its sole discretion. For enquiries, please contact [email protected]. This magazine is printed on certified FSC ® paper. 46 #142 4 ISOfocusSeptember-October 2020 2-3 Innovating for a better future Comment by Sergio Mujica. -
18Th ABMF Agenda
28th ASEAN+3 Bond Market Forum (ABMF) Meeting And relevant meetings 18-21 June 2018 / Seinan Gakuin University, Fukuoka City, Japan DAY 3 – 20 June 2018 Venue: Multi-Purpose Hall, 1st Floor, Centennial Hall TIME PROGRAM ABMF Sub Forum 2 (SF2) Meeting 08:30 – 09:00 Registration 09:00 – 09:05 Opening Remarks by Mr. Seung-Kwon Lee, SF2 Chair Session 12: RegTech in US 09:05 – 09:40 by Mr. Hudson Hollister, Data Transparency Coalition (DTC) via Webex - Financial Transparency Act in US Session 13: Enhanced Supervisions and Surveillance with Technology by Mr. Lim Kok Eng, Analytics Department, Securities Commission Malaysia 09:40 – 10:20 - XBRL submission platform - Web crawling robots - Artificial Intelligence for sentiment and text mining capability 10:20 – 10:45 Coffee break Session 14: Panel Discussion: Global trends in data collection and standardization for more structured data - What are the drivers of the trends? What are benefits and costs of building structured data environment? - What needs to be standardized (ISO 20022, XBRL, LEI, ISIN, CFI, etc)? - How can we standardize? What is the role of international body? - What does Asia need to understand and prepare? 10:45 – 12:15 Panelist: Mr. Francois Laurent, European Central Bank, ISO TC68 Mr. Masayuki Tagai, JP Morgan, ISO 20022 RMG Vice Convener Mr. Yoshiaki Wada, NTT Data, Chair of XBRL Asia Round Table Mr. Beju Shah, Bank of England Ms. Meiko Morioka, SWIFT Moderator: ADB 12:15 – 12:25 Wrap-up by ADB Secretariat 12:25 – 12:30 Closing Remarks by Mr. Seung-Kwon Lee, SF2 Chair 12:30 – 13:30 Lunch Farewell Dinner, Café d' Erte, 3rd floor, Hotel Clio Court Hakata, 18:30 – 20:30 5-3 Hakataekichuogai , Hakataku, Hakata, 812-0012 Fukuoka RegTech in the United States Hudson Hollister, Executive Director, Data Coalition @hudsonhollister What is RegTech? “RegTech” refers to technological solutions that perform one of the following functions: ● Automate regulatory compliance or regulatory reporting tasks. -
DSB Questions and Answers
DSB Q&A Document December 2017 Contents General Information ............................................................................................................................... 3 1.1 DSB Governance ...................................................................................................................... 3 1.2 DSB Scope ............................................................................................................................... 3 1.3 DSB Documentation ................................................................................................................ 4 1.4 User Categories ....................................................................................................................... 4 1.5 Connectivity ............................................................................................................................ 5 1.6 How to access DSB data .......................................................................................................... 5 1.7 Third party Risk Management/Info Sec doc ........................................................................... 6 1.8 CFI Code .................................................................................................................................. 6 1.9 Issuer or Operator of the Trading Venue ................................................................................ 6 1.10 DSB ISIN Usage and associated reporting ............................................................................... 6 1.11 -
ISO Update Supplément À L'isofocus
ISO Update Supplément à l'ISOfocus Avril 2021 Les Normes internationales en chantier ISO/DTS Lubrifiants, huiles industrielles et produits con- 6521-2 nexes (Classe L) — Famille D (Compresseurs) Une Norme internationale résulte d’un accord entre les com- — Partie 2: Spécifications des catégories DAH, ités membres de l’ISO. Dans l’établissement d’une Norme interna- DAI et DAJ (Lubrifiants pour compresseurs tionale, le premier stade important est celui du projet de comité (CD) d’air rotatifs à injection d’huile) - qui est diffusé pour examen au sein d’un comité technique de l’ISO. TC 30 Mesure de débit des fluides dans les Lorsqu’un consensus a été obtenu au niveau du comité technique, le conduites fermées document est adressé au Secrétariat central pour traitement en tant que projet de Norme internationale (DIS). Le DIS doit être approuvé ISO/CD 24460 Titre manque par 75 % au moins des comités membres ayant exprimé un vote. Un TC 34 Produits alimentaires vote de confirmation est ensuite effectué sur le projet final de norme ISO/CD 7927-1 Titre manque — Partie 1: Titre manque internationale (FDIS). Les critères d'approbation restant les mêmes. ISO/CD 7927-2 Titre manque — Partie 2: Titre manque TC 35 Peintures et vernis ISO/CD 8130-4 Poudres pour revêtement — Partie 4: Calcul de la limite inférieure d'explosibilité ISO/CD Préparation des subjectiles d'acier avant ap- 11127-7 plication de peintures et de produits assimilés — Méthodes d'essai pour abrasifs non métal- liques destinés à la préparation par projec- CD enregistrés tion — Partie 7: Détermination des chlorures solubles dans l'eau TC 38 Textiles Période du 01 mars au 01 avril 2021 ISO/CD 24040 Textiles - Détermination de certains composés Ces documents sont actuellement à l’étude par le comité technique. -
Liderazgo Biomimético Para Las Organizaciones Del Siglo XXI
UNIVERSITAT POLITÈCNICA DE CATALUNYA (UPC) PROGRAMA DOCTORAL EN ADMINISTRACIÓN Y DIRECCIÓN DE EMPRESAS DEPARTAMENTO DE ORGANIZACIÓN DE EMPRESAS Tesis presentada para obtener el título de Doctora: Liderazgo biomimético para las organizaciones del siglo XXI Barcelona, julio 2020 Doctoranda: Edita Olaizola Director: Co-Director: Dr. Marcos Eguiguren Huerta Dr. Rafael Morales Sánchez Universitat Politècnica de Catalunya, Barcelona Universidad Pablo de Olavide, Sevilla Liderazgo biomimético para las organizaciones del siglo XXI Edita Olaizola ADVERTIMENT La consulta d’aquesta tesi queda condicionada a l’acceptació de les següents condicions d'ús: La difusió d’aquesta tesi per mitjà del repositori institucional UPCommons (http://upcommons.upc.edu/tesis) i el repositori cooperatiu TDX ( h t t p : / / w w w . t d x . c a t / ) ha estat autoritzada pels titulars dels drets de propietat intel·lectual únicament per a usos privats emmarcats en activitats d’investigació i docència. No s’autoritza la seva reproducció amb finalitats de lucre ni la seva difusió i posada a disposició des d’un lloc aliè al servei UPCommons o TDX. No s’autoritza la presentació del seu contingut en una finestra o marc aliè a UPCommons (framing). Aquesta reserva de drets afecta tant al resum de presentació de la tesi com als seus continguts. En la utilització o cita de parts de la tesi és obligat indicar el nom de la persona autora. ADVERTENCIA La consulta de esta tesis queda condicionada a la aceptación de las siguientes condiciones de uso: La difusión de esta tesis por medio del repositorio institucional UPCommons (http://upcommons.upc.edu/tesis) y el repositorio cooperativo TDR (http://www.tdx.cat/?locale- attribute=es) ha sido autorizada por los titulares de los derechos de propiedad intelectual únicamente para usos privados enmarcados en actividades de investigación y docencia. -
ASX Market Data Protocol Specification V1.01 © Copyright 2016 ASX Limited ABN 98 008 624 691
New Trading Platform ASX Market Data Protocol Specification Version 1.01 | September 2016 INFORMATION CLASSIFICATION - CONFIDENTIAL Table of Contents 1. About This Document ................................................................................................................................ 5 Terms and Acronyms ....................................................................................................................... 5 Support Details ................................................................................................................................ 5 Version History ................................................................................................................................ 6 2. ASX Market Data Protocol Overview ......................................................................................................... 7 Sessions............................................................................................................................................ 8 Service Topology and Connection Recommendation ...................................................................... 8 3. Message Protocol .................................................................................................................................... 10 Packet Header ................................................................................................................................ 10 3.1.1. Data Message Header....................................................................................................... -
The Role of ANNA and ISO Standards in the International Capital Markets
ANNA numbers the world Association of National Numbering Agencies scrl The role of ANNA and ISO Standards in the International Capital Markets Dan Kuhnel – ANNA Chairman XII International AECSD Conference Almaty, Kazakhstan – September 10/11, 2015 ANNA numbers the world Name Agenda Who is ANNA? - Objectives - Mission Statement - ANNA Organisation and Membership - ANNA Service Bureau Overview - Benefits of ANNA Membership ANNA’s role in Cross-Border Standardisation - Overview of ISO Financial standards - Existing ISO Financial standards - ISO Financial Standards in preparation ANNA’s involvement in the Eurasian Capital Markets - How are we involved? - Benefits for members and the region ANNA numbers the world 2 Agenda What is ANNA? - Objectives - Mission Statement - ANNA Organisation and Membership - ANNA Service Bureau Overview - Benefits of ANNA Membership ANNA’s role in Cross-Border Standardisation - Overview of ISO Financial standards - Existing ISO Financial standards - ISO Financial Standards in preparation ANNA’s involvement in Asian Capital Markets - How are we involved? - Benefits for members and the region ANNA numbers the world 3 Objectives . Globally develop and promote standards under ANNA‘s control; . Commit to work for the benefit of the financial industry; . Codify, classify and make data accessible and available to industry participants; . Contribute to ISO Standards development process; . Ensure timeliness, accuracy and quality in the application of standards; . Fulfil our obligation as an ISO Registration Authority for the ISIN (ISO 6166) and CFI (ISO 10962) standards. ANNA numbers the world 4 Mission Statement We are committed to providing actionable global ID and reference data products and services to global market participants, including Regulators and the financial services industry to uniquely identify, classify and describe entities and financial instruments. -
HZN Oglasnik Za Normativne Dokumente 2/2021
Hrvatski zavod za norme Oglasnik za normativne dokumente 2/2021 28. YHOMDþH 2021. Oglasnik za normativne dokumente Hrvatskog zavoda za norme sadrži popise hrvatskih norma, nacrta hrvatskih norma, prijedloga za prihvaćanje stranih norma u izvorniku, povučene hrvatske norme, povučene nacrte hrvatskih norma te ispravke, rezultate europske i međunarodne normizacije i obavijesti HZN-a. Tko u popisima normativnih dokumenata koji su objavljeni u ovom Oglasniku otkrije koju grešku, koja može voditi do krive primjene, moli se da o tome neodložno obavijesti Hrvatski zavod za norme, kako bi se mogli otkloniti uočeni propusti. Izdavač: Sadržaj: 1 Rezultati hrvatske normizacije .................................................................................................. A3 1.1 Hrvatske norme ....................................................................................................................................... A3 1.2 Nacrti hrvatskih norma ............................................................................................................................ 1.3 Prijedlozi za prihvaćanje stranih norma u izvorniku ................................................................................ A9 1.4 Povučene hrvatske norme ...................................................................................................................... A14 1.5 Povučeni nacrti hrvatskih norma ............................................................................................................. 1.6 Ispravci hrvatskih norma ........................................................................................................................ -
ISO 10962:Redline:2019(E)
e- W ac IE -2 V 21 E 51 R i) 49 P a c9 9 . t/ 01 D h is 2 R te /s 2- .i : ds 6 A s d r 09 D d ar a -1 N ar d nd o n ta is A d ta s 5/ T n s g/ a S a ll o b t u al c h (s F t 03 e ca c T i/ 39 INTERNATIONAL i .a d eh d5 it - s. 1 STANDARD d e5 ar -8 d a8 an 8 st 4 // s: tp ht Securities and related financial instruments — Classification of financial instruments (CFI) code 10962 Valeurs mobilières et autres instruments financiers concernés — compares Fourth edition to ISO Classification des instruments financiers (code CFI) Redline version Third edition ISO 10962:redline:2019(E) Reference number © ISO 2019 ISO 10962:redline:2019(E) IMPORTANT This marked-up version uses the following colour-coding in the marked-up text: Text example 1 — Text has been added (in green) Text example 2 — Text has been deleted (in red) — Graphic figure has been added 1.x ... — If there are changes in a clause/subclause, the corresponding clause/ — Graphic figure has been deleted subclause number is highlighted in yellow in the Table of contents DISCLAIMER This marked-up version highlights the main changes in this edition of the document compared with the previous edition. It does not focus on details (e.g. changese- in W ac punctuation). IE -2 V 21 E 51 R i) 49 P a c9 9 .