News Centre

FINRA Sanctions 10 Former Global Arena Representatives As A Result Of FINRA Crackdown On Broker Migration

Date 15/09/2015

The Financial Industry Regulatory Authority (FINRA) announced today that as a result of a 2014 onsite exam, it found securities violations including various misleading sales pitches, customer account churning and other business misconduct at Global Arena Capital Corp. It has barred seven former registered representatives from the securities industry, suspended an eighth person whose bar will become effective in October, and barred two former branch managers from serving in a principal capacity. The actions are a result of FINRA's continued focus on tracking groups of brokers that move from one risky firm to another. Seven of the 10 individuals had moved from HFP Capital Markets LLC—a problem firm that FINRA later expelled—to Global Arena Capital Corp. Global Arena opened a branch office in October 2013 to register a number of brokers who had been discharged by HFP. Like HFP, the branch office's business model involved cold-calling customers, including seniors, to make solicited recommendations of securities.

SIX Swiss Exchange ETFs: 15 Years Of Growth

Date 15/09/2015

SIX Swiss Exchange has been one of the first European exchanges to launch a segment for ETFs and is looking back on an unprecedented success story.

Euronext: Extraordinary General Meeting Convening Notice 20151027

Date 15/09/2015

Euronext today announced that an Extraordinary General Meeting (EGM) will take place on Tuesday 27 October 2015 at 10am CET at Beursplein 5, 1012 JW Amsterdam, The Netherlands. The Agenda for the meeting is as follows:

1. Opening
2. Composition of the Managing Board
   a. Appointment of Stéphane Boujnah as a member of the Managing Board (voting item 1)
3. Close

The meeting will be conducted in English.

MIAX Options Exchange - Reminder:Network Configuration Changes In NY2 On September 19, 2015

Date 15/09/2015

The MIAX Options Exchange will be performing network configuration changes on NY2 backbone switches to increase overall performance on Saturday, September 19, 2015 between 8:00 am and 5:00 pm.  All IP addresses will remain the same; no changes are required by participants.  While not mandatory, connectivity testing will be available upon request.

Saudi Stock Exchange Announces Enhancements To The Post-Market Order Maintenance Session

Date 15/09/2015

The Saudi Stock Exchange announces to all of our valued stakeholders that due to enhancements, only order cancellations during the post-market order maintenance session will be allowed for the period starting today, Tuesday 15th September until Thursday 17th September, 2015 as follows: 

• Stock Market: Daily from 3:30 pm to 4:30 pm 
• Sukuk and Bonds: Daily from 3 pm to 4:30 pm 

Shenzhen Stock Exchange Market Bulletin 14 September , 2015 - Issue 18

Date 15/09/2015

Last week, Shenzhen Component Index stood at 10463.7 points after adding 4.1%. SME Index edged up 3.6% to 7094.4 points. ChiNext Index advanced 11.1% to 2060.5 points. Total turnover for stocks and funds on SZSE was US$255.0 billion, or a 57.3% increase from the week before.  

DIFC Concludes Visit To Shanghai And Beijing: Highlighted New Investment Opportunities To The Chinese Financial Community And Investors

Date 15/09/2015

• DIFC visit, led by HE Essa Kazim, reaffirms the Centre's commitment to China as a key market in its long term strategy
• DIFC's strategic visit to China follows a series of briefings in India's financial capital Mumbai, where DIFC management met prospective clients and business partners
• DIFC's planned expansion driven by trade & investment in the 'South-South economic' corridor

Amman Stock Exchange: Eid al-Adha Holiday

Date 15/09/2015

According to the Prime Minister announcement on the occasion of Eid Al-Adha, The Amman Stock Exchange (ASE) will have a holiday on Wednesday 23 September, 2015 until Sunday 27 September, 2015. The ASE will be back to work on Monday 28 September, 2015.

The MiG Report - Toronto Stock Exchange And TSX Venture Exchange

Date 15/09/2015

Please click here for the August 2015 MiG Report. 

EBA Publishes Results Of The Basel III Monitoring Exercise As Of of 31 December 2014

Date 15/09/2015

The European Banking Authority (EBA) published today its eight report of the Basel III monitoring exercise on the European banking system. This exercise, run in parallel with the one conducted by the Basel Committee on Banking Supervision (BCBS) at a global level, allows the gathering of aggregate results on capital ratios and leverage ratio (LR), as well as on liquidity ratios - liquidity coverage ratio (LCR) and net stable funding ratio (NSFR) - for banks in the European Union (EU).