News Centre

Accountability, From Debate To Reality - Speech By Martin Wheatley, CEO Of The Financial Conduct Authority, Delivered At The City & Financial Conference, London

Date 14/07/2015

It is a pleasure to join everyone here this morning and thanks to City & Financial for hosting this event.

As you will have seen, the FCA published its final rules on the new banking accountability framework on Tuesday, on the same day that the PRA released their final rules. This represents the final building block in our regime which seeks to encourage greater individual accountability in banking, starting with Senior Management, and flowing down to staff at all levels.

Nasdaq Lists The Global X SuperDividend(R) Alternatives ETF - One Stop Alternative Income Solution Offers Investors High Income Potential And Lower Volatility

Date 14/07/2015

Nasdaq announced that Global X Funds will list a new exchange-traded fund (ETF), the Global X SuperDividend® Alternatives ETF (Symbol: ALTY), which will begin trading on The Nasdaq Stock Market Tuesday, July 14, 2015.

Statement Of CFTC Commissioner J. Christopher Giancarlo On The DMO Made Available To Trade Process Roundtable (Washington, DC)

Date 14/07/2015

The Division of Market Oversight will hold a roundtable tomorrow to discuss the CFTC’s “made available to trade” (MAT) process. I hope this will provide an opportunity to thoroughly reconsider this ruleset that is not supported by the Dodd-Frank Act and runs counter to long-settled constitutional precedent surrounding the Commerce Clause.

SEC Charges 34 Defendants In Microcap Market Manipulation Schemes

Date 14/07/2015

The Securities and Exchange Commission today charged 15 individuals and 19 entities for their roles in alleged schemes to manipulate the trading of microcap stocks.  The 34 defendants include six firms alleged to have acted as unregistered broker-dealers catering to customers who sought to conceal their stock ownership and manipulate the market for microcap securities. 

BM&FBOVESPA Announces The Results Of Report Or Explain 2015 - Latest Survey Shows That 81 Companies Already Publish Their Reports According To The GRI G4 Methodology. - Of These, 9 Companies Publish The Integrated Reporting

Date 14/07/2015

The fourth annual update of the “Report or Explain for the Sustainability or Integrated Report”  database signals a slight percentage increase in the efforts undertaken by companies listed on the BM&FBOVESPA to publish social, environmental and corporate governance reports, or explain why they do not do so: 311 companies, corresponding to 71.65% of the total number of companies listed on the Stock Exchange, are participating in the initiative this year (against 71.17%,  in the year before – see chart 1 below). However, if we add the number of companies (12) that are getting prepared to publish this document to the number of companies (14) informing that they are in the process of preparing it, the number of adhering companies goes up from 311 to 337.  This represents a growth of 77.64% (see “X-ray of Explanations,” table 1 below).

Alberto Pototschnig Reappointed To Lead ACER Until 2018

Date 14/07/2015

The European Commission and the ACER Administrative Board agreed and proposed this month that the achievements of the Agency and the upcoming duties and requirements called for an extension of the mandate of ACER Director, Alberto Pototschnig. The Board then adopted the decision on 8th July to reappoint him for a term of three years starting as of 16 September 2015.

TMX Group Announces Sale of Equicom To NATIONAL Public Relations

Date 14/07/2015

TMX Group today announced that it has sold the business of its investor relations subsidiary The Equicom Group Inc. (Equicom) to NATIONAL Public Relations Inc.

Remarks By Deputy Secretary Sarah Bloom Raskin At The American Bankers Association Summer Leadership Meeting

Date 14/07/2015

I.       Introduction

Good morning.  Thank you John for that kind introduction, and thanks for inviting me to speak at your Summer Leadership meeting in this irresistible city which occupies a special place in my heart.  As John noted, I have had a number of jobs since I was Maryland’s Commissioner of Financial Regulation, but nothing compares to being Maryland’s banking commissioner right here in Charm City.  Hollywood has worked hard to capture the feel of this place in shows like Homicide, The Wire, and House of Cards, but the magic of Baltimore will not be truly visible until someone makes a series about the Commissioner of Financial Regulation and the vivid and never-boring people—I was going to say characters—who run the banks from Easton to Baltimore to Chevy Chase that keep the wheels of commerce turning in the Free State. 

FTSE Russell Introduces New US Quality Dividend Index

Date 14/07/2015

• Expands FTSE Global Factor Index Series to US equity markets
• Responds to investor demand for more efficient ways to combine factor exposures
• O’Shares to use index as the basis for new suite of ETFs

SEC Chair Mary Jo White Opening Remarks At The Compliance Outreach Program For Broker-Dealers

Date 14/07/2015

Thank you, Kevin, and thank you all for joining us today.  It is my pleasure to kick off our annual broker-dealer compliance outreach program.  Our goal each year is to share insights into the SEC’s initiatives and priorities and to continue our open communication and robust dialogue with you.