In this issse:

- ISS Publishes Results of Annual Global Voting Policy Survey

- FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System

- NFA Issues Notice Regarding CPO and CTA Reports and Filing Requirements

- CFTC Extends Relief for SEFs and DCMs from Straight-Through Processing Requirements for Package Transactions

- CFTC Extends Relief to DCOs and Their Clearing Members from Requirements for CDS Clearing-Related Swaps

- CFTC and NFA Require SD and MSP Risk Exposure Reports to Be Submitted Through WinJammer

- SEC Settles Insider Trading Case, Finding Roommate Relationship Created Duty of Trust and Confidence

- CFTC Settles Fraudulent Trading Violations with Forex Trader

- FCA Updates Its AIFMD Reporting Webpage

- ESMA Consults on Draft Guidelines Clarifying the Definition of “Derivatives” Under MiFID

- Excerpt from ISS Publishes Results of Annual Global Voting Policy Survey:

On September 29, Institutional Shareholder Services (ISS), a leading proxy advisory firm, published the results of its 2014–2015 global voting policy survey. The survey, which, according to ISS, received more than 370 responses from a combination of institutional investors, corporate issuers and other corporate governance stakeholders, is an important component in ISS’ voting policy formulation process. Key findings from the 2014– 2015 survey include...