FTSE Mondo Visione Exchanges Index:
News Centre
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Audit Oversight Board Securities Commission Malaysia: Audit Firm And Audit Partner Fined For Breach Of Partner Rotation Requirement
Date 27/08/2024
The Securities Commission Malaysia’s (SC) Audit Oversight Board (AOB) has imposed fines of RM150,000 and RM37,500 on Grant Thornton Malaysia PLT (GTM) and its audit partner Mohamad Heizrin bin Sukiman (Heizrin) respectively for failing to comply with key audit partner rotation requirement.
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Monetary Authority Of Singapore: Equities Market Review Group Convenes Inaugural Meeting, Identifies Priority Areas, And Announces Members Of Workstreams
Date 27/08/2024
The Equities Market Review Group held its inaugural meeting on 19 August, chaired by Mr Chee Hong Tat, Minister for Transport, Second Minister for Finance and Deputy Chairman of the Monetary Authority of Singapore. The meeting discussed key challenges and opportunities facing Singapore’s equities market, and set out its strategic direction for the review.
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Japan Fintech Week 2025 And Newsletter
Date 27/08/2024
JFSA hosted "Japan Fintech Week 2024" for the first time in March this year. More than 13000 people involved in the domestic and overseas fintech community gathered for lively discussions and networking.
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SEC Charges Brothers Jonathan And Tanner Adam With $60 Million Ponzi Scheme - SEC Obtains Emergency Relief To Freeze Defendants’ Assets
Date 26/08/2024
The Securities and Exchange Commission today announced that it obtained emergency asset freezes against Jonathan Adam, a resident of Angleton, Texas, and his brother, Tanner Adam, a resident of Miami, Florida, and against their respective entities, GCZ Global LLC and Triten Financial Group LLC, to halt an alleged $60 million Ponzi scheme impacting more than 80 investors across the country.
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NYSE Group Consolidated Short Interest Report
Date 26/08/2024
NYSE today reported short interest as of the close of business on the settlement date of August 15,2024.
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Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date August 15, 2024
Date 26/08/2024
At the end of the settlement date of August 15, 2024, short interest in 3,037 Nasdaq Global MarketSM securities totaled 12,277,781,936 shares compared with 11,985,723,964 shares in 3,043 Global Market issues reported for the prior settlement date of July 31, 2024. The mid-August short interest represents 2.62 days compared with 2.90 days for the prior reporting period.
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CFTC To Host A Career Forum For Law School Students - Registration Opens Today For September 25 Event And Features Chair Of The New York Stock Exchange Sharon Bowen
Date 26/08/2024
The Commodity Futures Trading Commission will host an in-person Career Forum for law school students and recent J.D. graduates on Wednesday, September 25, 2024. This event will feature a fireside chat with Sharon Bowen, former CFTC Commissioner and current Chair of the New York Stock Exchange, alongside CFTC Chairman Rostin Behnam.
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Statement Of CFTC Commissioner Caroline D. Pham On Swap Data Reporting Settlement Order
Date 26/08/2024
Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham today released the following statement on the CFTC’s recent settlement order regarding The Bank of New York Mellon:
“I am pleased that the CFTC has provided recognition of self-reporting and cooperation credit in this settlement order with The Bank of New York Mellon. I hope the CFTC will adopt a clear standard that is applied consistently as I have previously recommended. Implementing my proposals to improve the CFTC’s internal governance and procedures will promote government accountability and provide further transparency and regulatory clarity.”
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CFTC Orders The Bank Of New York Mellon To Pay $5 Million For Swap Reporting And Supervision Failures And Violation Of A Prior CFTC Order
Date 26/08/2024
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges with The Bank of New York Mellon (BNYM) for repeatedly failing to correctly report millions of swap transactions to a registered swap data repository, in violation of a prior CFTC order against BNYM, and for failing to properly supervise its swap dealer business as required by the Commodity Exchange Act (CEA) and CFTC regulations. [See CFTC Press Release Nos. 8033-19 and 8042-19] The order imposes a $5 million civil monetary penalty and incorporates BNYM’s decision to retain an independent compliance consultant to review and provide advice regarding its compliance program.
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SEC Charges Sound Point Capital Management For Insider Trading Policy Failures - Fund Adviser’s Policies Failed To Consider Potential Impact Of Material Nonpublic Information Gained From Role As Company Lenders
Date 26/08/2024
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Sound Point Capital Management LP for failing to establish, maintain, and enforce written policies and procedures reasonably designed to prevent the misuse of material nonpublic information (MNPI) concerning its trading of collateralized loan obligations (CLOs). To settle the SEC’s charges, Sound Point agreed to pay a $1.8 million civil penalty.
