FTSE Mondo Visione Exchanges Index:
News Centre
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Speech By New Zealand Financial Markets Authority Chief Executive Samantha Barrass To Financial Services Council 2024 Conference
Date 04/09/2024
Many thanks for inviting me to speak to you today. The relationship between the FMA and the FSC has been very strong over many years, and ensuring this continues is vital for me, the FMA Board and my leadership team.
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Bilateral Meeting Between Japan Financial Services Agency Commissioner Ito And Chairman Kim, The Financial Services Commission Of The Republic Of Korea
Date 04/09/2024
On September 3, Commissioner Ito (photo:right) held an in-person bilateral meeting with Mr. KIM Byoung Hwan, Chairman of the Financial Services Commission of the Republic of Korea (photo:left).
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New Zealand Financial Markets Authority Cancels Integrity Advisers Insurance Limited’s Financial Advice Provider Licence
Date 04/09/2024
The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has cancelled Integrity Advisers Insurance Limited’s (Integrity) Financial Advice Provider (FAP) licence for engaging in serious misconduct.
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NZX Shareholder Metrics - August 2024
Date 04/09/2024
Please see attached NZX Limited shareholder metrics for August 2024.
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SEC Charges Six Credit Rating Agencies With Significant Recordkeeping Failures - Firms Admit To Wrongdoing And Agree To Pay Penalties Totaling More Than $49 Million To Settle SEC Charges
Date 03/09/2024
The Securities and Exchange Commission today announced charges against six nationally recognized statistical rating organizations, or NRSROs, for significant failures by the firms and their personnel to maintain and preserve electronic communications. The firms admitted the facts set forth in their respective SEC orders; acknowledged that their conduct violated recordkeeping provisions of the federal securities laws; agreed to pay combined civil penalties of more than $49 million, as detailed below; and have begun implementing improvements to their compliance policies and procedures to address these violations.
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MarketAxess To Participate In The Barclays Global Financial Services Conference
Date 03/09/2024
MarketAxess Holdings Inc. (Nasdaq: MKTX), the operator of a leading electronic trading platform for fixed-income securities, today announced that Chris Concannon, Chief Executive Officer, and Ilene Fiszel Bieler, Chief Financial Officer, will participate in the Barclays Global Financial Services Conference on September 10, 2024.
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Federal Court Orders Oregon Man To Pay Over $209 Million In Monetary Sanctions For Commodity Pool Ponzi Schemes - CFTC Also Recovers $18 Million Stolen From Court-Appointed Receiver
Date 03/09/2024
The Commodity Futures Trading Commission today announced Judge Mary Rowland of the U.S. District Court for the Northern District of Illinois entered an order of final judgment against Sam Ikkurty of Oregon and Jafia, LLC, Ikkurty Capital, LLC d/b/a Rose City Income Fund I LP, Rose City Income Fund II, and Seneca Ventures, LLC imposing a judgment totaling $209,614,892.
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Coinbase To Participate In The Goldman Sachs Communacopia + Technology Conference
Date 03/09/2024
Coinbase Global, Inc. announced today that Brian Armstrong, Co-Founder and Chief Executive Officer, and Alesia Haas, Chief Financial Officer, will participate in a fireside chat at the Goldman Sachs Communacopia + Technology Conference on Tuesday, September 10, 2024 at 1:10 pm ET / 10:10 am PT.
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SEC Charges Advisory Firm ClearPath With Custody Rule And Liability Disclaimer Violations
Date 03/09/2024
The Securities and Exchange Commission today announced settled charges against ClearPath Capital Partners LLC for failing to comply with requirements related to the safekeeping of client assets and for its use of impermissible liability disclaimers in its advisory and private fund agreements.
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SEC Charges Creative Legal Fundings CEO Maria Dickerson With Operating Multimillion Dollar Ponzi Scheme That Targeted Filipino-American Community
Date 03/09/2024
The Securities and Exchange Commission today charged Maria Dulce Pino Dickerson and her companies Creative Legal Fundings in CA and The Ubiquity Group LLC with raising approximately $7 million from more than 130 investors through a fraudulent securities offering targeting members of the Filipino-American community across the United States.
