News Centre

The Shanghai Stock Exchange Confirms Shareholders' Identities Through Real Person Authentication, Facilitating Investors' Participation In Online Voting At Shareholders' Meetings

Date 25/09/2024

Recently, Shanghai Stock Exchange (SSE) optimized the individual investor identity authentication method for online voting at shareholders' meetings of listed companies. On the basis of the existing method of authentication through a trading application, two shareholder identity authentication methods have been added: "three elements of operators + face recognition" and "four elements of China UnionPay + face recognition", making it easier for investors to participate in online voting at shareholders' meetings.

ASIC's Vanguard Greenwashing Action Results In Record $12.9 Million Penalty

Date 25/09/2024

The Federal Court today ordered Vanguard Investments Australia to pay a $12.9 million penalty for making misleading claims about environmental, social and governance (ESG) exclusionary screens.

Monetary Authority Of Singapore Establishes International Advisory Panel For Cyber And Technology Resilience

Date 25/09/2024

The Monetary Authority of Singapore (MAS) announced today the establishment of a Cyber and Technology Resilience Experts (CTREX) Panel. The Panel replaces MAS’ Cyber Security Advisory Panel, with an expanded mandate to cover technology resilience which, together with cybersecurity, significantly underpins the operational resilience of the financial sector.  

ASIC: Macquarie Bank Fined A Record $4.995m For Serious Market Gatekeeper Failure

Date 25/09/2024

Following an ASIC investigation, the Markets Disciplinary Panel (MDP) has fined Macquarie Bank Limited (Macquarie) a record $4.995 million for failing to prevent suspicious orders being placed on the electricity futures market. This is the highest penalty ever imposed by the MDP.  

"How Private Markets Can Underwrite Asia's Growth Story" - Keynote Speech By Mr Gan Kim Yong, Deputy Prime Minister And Minister For Trade And Industry, And Chairman Of The Monetary Authority Of Singapore, At The SuperReturn Asia Conference On 25 September 2024

Date 25/09/2024

I am happy to join all of you here at the SuperReturn Asia conference.

CFTC Orders Canadian Imperial Bank Of Commerce To Pay $1.25 Million For Untimely Swaps Reporting

Date 24/09/2024

The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges with Canadian Imperial Bank of Commerce (CIBC) for repeatedly failing to timely report swap transactions to a registered swap data repository as required by the Commodity Exchange Act (CEA) and CFTC Regulations.

NYSE Group Consolidated Short Interest Report

Date 24/09/2024

NYSE today reported short interest as of the close of business on the settlement date of September 13, 2024.

Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date September 13, 2024

Date 24/09/2024

At the end of the settlement date of September 13, 2024, short interest in 3,057 Nasdaq Global Market^SM securities totaled 12,241,625,467 shares compared with 12,296,040,928 shares in 3,037 Global Market issues reported for the prior settlement date of August 30, 2024. The mid-September short interest represents 3.06 days compared with 3.38 days for the prior reporting period.

SEC Charges Former CEO Of Tech Startup SKAEL With $30 Million Fraud

Date 24/09/2024

The Securities and Exchange Commission today announced fraud charges against Baba Nadimpalli, the co-founder and former CEO of SKAEL Inc., a San Francisco-based private technology company that developed business automation software.

Dissenting Statement Of CFTC Commissioner Caroline D. Pham On The Filing Of Administrative Complaints For Enforcement Actions

Date 24/09/2024

 Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham today released the following statement on the CFTC’s filing of four administrative complaints for enforcement actions before a CFTC temporary hearing officer:

“It is unbelievable that in the wake of the U.S. Supreme Court’s Jarkesy opinion and the heightened scrutiny of agency administrative proceedings, the Commission is doubling down on bringing enforcement actions before a hearing officer—not even an Administrative Law Judge."