FTSE Mondo Visione Exchanges Index:
News Centre
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Borsa Istanbul: Announcement Regarding Changes To The BIST-KYD Indices Methodology
Date 15/08/2024
Please click here for the Announcement Regarding Changes to the BIST-KYD Indices Methodology
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Dubai Financial Market And Shenzhen Stock Exchange Signs MoU To Strengthen Cross-Border Financial Collaboration - The Partnership Aims To Strengthen Capital Market Connectivity For Enhanced Investment Opportunities In China And The UAE
Date 15/08/2024
Dubai Financial Market (DFM) and Shenzhen Stock Exchange (SZSE) announce the signing of a Memorandum of Understanding (MoU), demonstrating a shared commitment to fostering collaboration and advancing cross-border trading and investment opportunities.
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ETFGI Reports That Assets Invested In The Global ETFs Industry Reached A New Record High Of US$13.61 Trillion At The End Of July
Date 15/08/2024
ETFGI, a prominent independent research and consultancy firm specializing in providing subscription research on trends in the global ETFs industry, reported today that assets invested in the global ETFs industry reached a new record high of US$13.61 trillion at the end of July. During July, the global ETFs industry gathered US$216.64 billion in net inflows, bringing year to date net inflows to US$947.00 billion, according to ETFGI's July 2024 global ETFs and ETPs industry landscape insights report, the monthly report which is part of an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted)
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UK Financial Conduct Authority Censures Auditor For Failings In Client Asset Reports
Date 15/08/2024
The FCA has censured the auditor Macintyre Hudson LLP (MHA) for failing to prepare client assets reports to the required standard.
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25.72 Billion QAR Profits For Companies Listed On Qatar Stock Exchange In The First Half Of 2024
Date 15/08/2024
All companies listed on the Qatar Stock Exchange (*except Al Faleh Educational Holding) have disclosed their semi-annual financial results for the period ending on June 30, 2024. The total net profits for this period amounted to 25.72 Billion Qatari Riyals, compared to 24.38 Billion Qatari Riyals for the same period last year (2023), reflecting an increase of 5.51%.
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Shanghai Futures Exchange: Notice On The Approval Of Non-Futures Firm Membership Of Bank Of Nanjing Co., Ltd.
Date 15/08/2024
As per the application by the Bank of Nanjing Co., Ltd., according to the Membership Management Rules of Shanghai Futures Exchange and through procedures as required, Shanghai Futures Exchange has approved the non-futures firm membership of Bank of Nanjing Co., Ltd..
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CFTC Orders Truist Bank To Pay $3 Million Penalty And Remediate Recordkeeping And Supervision Failures Relating To Widespread Use Of Unapproved Communications Methods - Truist Receives Substantially Reduced Penalty For Self-Reporting To The Division Of Enforcement
Date 14/08/2024
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against North Carolina swap dealer Truist Bank. The order finds Truist failed to maintain, preserve, or produce records required to be kept under CFTC recordkeeping requirements. Truist also failed to diligently supervise matters related to its business as a CFTC swap dealer
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CFTC Orders TD Bank To Pay $4 Million For Supervision Failures Impacting Its Electronic Communications Surveillance System
Date 14/08/2024
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against The Toronto Dominion Bank (TD Bank), a registered swap dealer, for failing to diligently supervise activities related to its business as a CFTC registrant, specifically, its electronic communications surveillance system. This resulted in TD Bank failing to surveil certain communications for hundreds of its swap dealer personnel over a five-year period.
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Twenty-Six Firms To Pay More Than $390 Million Combined To Settle SEC’s Charges For Widespread Recordkeeping Failures - Three Firms Received Credit For Self-Reporting And Will Pay Reduced Civil Penalties
Date 14/08/2024
The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.
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Dissenting Statement Of CFTC Commissioner Caroline D. Pham On Off-Channel Communications Matter
Date 14/08/2024
I respectfully dissent on In re Cowen and Co. because the administrative record does not include evidence that any CFTC registered Associated Persons (APs) engaged in activity that was in violation of the CFTC’s recordkeeping requirements for introducing brokers (IBs), such as maintaining records of transactions, orders, and other business “relating to dealing in commodity interests,” or communications “concerning quotes, solicitations, bids, offers, instructions, trading, and prices that lead to the execution of a transaction in a commodity interest.” These are specific types of records. Based on the information in the administrative record, however, the CFTC only reviewed the sample provided by Respondent to the SEC regarding Respondent’s FINRA-registered representatives. None of the persons in the SEC sample was a CFTC AP. Consequently, there was no evidence in the administrative record involving CFTC APs and the specific types of records that IBs are required to maintain. I am unable to support an enforcement action that does not have any evidence that the alleged violations actually occurred. Therefore, I must dissent.
