CUSIP Global Services Teams With Delaware Depository To Create...
CUSIP Global Services (CGS) today announced a collaboration with Delaware Depository®, one of the nation’s leading providers of precious metals custody services, to create the first-ever CUSIP...
View ArticleIrish Stock Exchange Pre-Budget Submission - Tax Changes Needed To Encourage...
The Irish Stock Exchange's (ISE) pre-Budget submission 2017 calls on the Government to make Ireland a more attractive and internationally competitive location for companies looking to scale by:read...
View ArticleEuro Cervantes SOCIMI To Start Trading On MAB On 22 September - The 24th REIT...
The Coordination and Admissions Committee of the MAB has submitted to the Board of Directors a favourable report on EURO CERVANTES SOCIMI,stating that the company is eligible for admission to the...
View ArticleSIX Swiss Exchange Sponsored Funds: More Than 400 Products Tradable
Bank Julius Baer admits another 40 products to trading on SIX Swiss Exchange, including the first fund on the new SPI Multi Premia Index.read more...
View ArticleESMA Adds ICE Clear Europe Ltd To List Of Authorised CCPS Under EMIR
ESMA has today added ICE Clear Europe Ltd to its list of authorised central counterparties (CCPs) under the European Markets Infrastructure Regulation (EMIR). EMIR requires EU-based CCPs to be...
View ArticleSEC Issues $4 Million Whistleblower Award
The Securities and Exchange Commission today announced an award of more than $4 million to a whistleblower whose original information alerted the agency to a fraud.read more...
View ArticleShenzhen Stock Exchange Promulgated The Information Disclosure Guidelines For...
Since January 2013, in order to increase the effectiveness of information disclosure of listed companies and improve the market transparency, Shenzhen Stock Exchange (‘SZSE’) has promulgated a series...
View ArticleSFC Issues Restriction Notice To A Broker To Stop Two Clients From...
The Securities and Futures Commission (SFC) has issued a Restriction Notice to BOCI Securities Limited (BOCI) prohibiting it from processing shares and/or money held in two client accounts that hold...
View ArticleA Delegation From SCA, ADX, And DFM Reviews US Financial Regulatory Structure...
In line with the directives of H.E. Eng. Sultan bin Saeed Al Mansoori, Minister of Economy and Board Chairman of the Securities and Commodities Authority (SCA), and as part of initiatives aimed to set...
View ArticleGPW Extends The Transaction Fee Reduction For Market Makers Of Shares
The Warsaw Stock Exchange has extended its reduction of fees for Market Makers, i.e., a temporary waiver of fees for transactions on the regulated market charged to Market Makers of shares of companies...
View ArticleCFTC Orders Raja Michael Mawad and His Texas-Based Company, RNS Holdings LP,...
The U.S. Commodity Futures Trading Commission (CFTC) filed and simultaneously settled charges against Respondents Raja Michael Mawad, who resided in Houston, Texas, and the company he founded, owned,...
View ArticleComptroller Of The Currency Discusses OCC Supervision Of Wells Fargo
Comptroller of the Currency Thomas J. Curry today discussed supervision leading up to the recent enforcement actions against Wells Fargo Bank, N.A., for unsafe and unsound sales practices. His remarks...
View ArticleCFTC Orders Raja Michael Mawad And His Texas-Based Company, RNS Holdings LP,...
The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against Respondents Raja Michael Mawad, who resided in Houston, Texas during the relevant period...
View ArticleTwo MAB Companies Shortlisted As Candidates For the 4th. "European Small...
Grenergy and Inclam, two companies listed on the Mercado Alternativo Bursátil (MAB) have been shortlisted as candidates for the fourth edition of the "European Small and Mid-Cap Awards" among a large...
View ArticleBats Welcomes VanEck As A New U.S. Issuer, Building Upon European...
Bats Global Markets, Inc. (Bats: BATS), the #1 market globally for exchange-traded fund (ETF) trading, today welcomed VanEck as a U.S. issuer on The Bats ETF Marketplace, building upon the European...
View ArticleTMB Asset Management Selects FTSE Thailand Mid/Small Cap Minimum Variance Index
FTSE Russell, the global index and data provider, today announces that TMB Asset Management, one of Thailand’s largest fund houses, has chosen the FTSE Thailand Mid/Small Cap Minimum Variance Index for...
View ArticleESMA Consults On Trading Obligation For Derivatives
The European Securities and Markets Authority (ESMA) has published today a discussion paper regarding the trading obligation under the Markets in Financial Instruments Regulation (MiFIR).read more...
View ArticleCFTC Charges Florida-Based KB Concepts Group, LLC and Kelvin Burgos with...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil injunctive enforcement action in the U.S. District Court for the Southern District of Florida against Florida-based Defendants KB...
View ArticleFINRA Hearing Panel Sanctions Avenir Financial Group And Bars Former CEO...
The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has sanctioned Avenir Financial Group, fining the NY-based firm $229,000 and suspending it for two years...
View ArticleCFTC Charges Florida-Based KB Concepts Group, LLC and Kelvin Burgos With...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil injunctive enforcement action in the U.S. District Court for the Southern District of Florida against Florida-based Defendants KB...
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