News Centre

NYSE Group Consolidated Short Interest Report

Date 26/04/2021

NYSE today reported short interest as of the close of business on the settlement date of April 15, 2021.

Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date April 15, 2021

Date 26/04/2021

At the end of the settlement date of April 15, 2021, short interest in 2,622 Nasdaq Global MarketSM securities totaled 8,587,890,404 shares compared with 8,451,076,714 shares in 2,626 Global Market issues reported for the prior settlement date of March 31, 2021. The mid-March short interest represents 2.86 days compared with 2.54 days for the prior reporting period.

Coinbase To Announce First Quarter 2021 Results

Date 26/04/2021

Coinbase Global, Inc. announced today that it will hold a conference call to discuss its first quarter 2021 financial results on Thursday, May 13, 2021, at 2:00 p.m. PT.

Acting CFTC Chairman Behnam To Speak At The NYU Stern School Of Business Second Annual Volatility And Risk Institute Conference

Date 26/04/2021

Increasing Opportunities For Underrepresented Founders And Investors On The Agenda For The SEC Small Business Capital Formation Advisory Committee Meeting On April 30

Date 26/04/2021

The Securities and Exchange Commission's Small Business Capital Formation Advisory Committee will meet on Friday, April 30, to home in on solutions to increase access to capital for underrepresented founders and investors from smaller, regional funds.

BETTER FINANCE - Commissioner Mcguinness: “Putting People At The Heart Of The Financial System Is Part Of My Vision”

Date 26/04/2021

On 22 April at the BETTER FINANCE’s international conference, high-level speakers and over 350 registered participants debated “How to make the EU Capital Markets Union (‘CMU’) work for people?”. 

Statement By US Treasury Secretary Janet Yellen On The United Kingdom’s Establishment Of A Global Anti-Corruption Sanctions Regime

Date 26/04/2021

The United States Department of the Treasury welcomes the enactment today of the United Kingdom’s new Global Anti-Corruption Sanctions Regime, which builds upon the success of the United Kingdom’s Global Human Rights Sanctions Regime. This new sanctions regime gives the United Kingdom an authority similar to the United States’ Global Magnitsky program and Canada’s Justice for Victims of Corrupt Foreign Officials Act, which target both human rights abusers and corrupt actors.  We stand in close partnership with the United Kingdom in addressing the global challenges of corruption and illicit finance. 

Moscow Exchange: Risk Parameters On Securities Market - Update

Date 26/04/2021

CCP NCC sets the following risk parameters on Securities market starting from April 27, 2021:

Finansinspektione Introduces New Reporting System

Date 26/04/2021

FI has decided to replace several of our existing reporting systems with a new system with the aim of better meeting current and future legal requirements and enhancing user-friendliness for the companies that report via the systems. The new reporting system, FIDAC, will be used for both periodic and event-driven reporting.

Compliance, Culture And Evolving Regulatory Expectations, Speech By Mark Steward, UK Financial Conduct Authority Executive Director Of Enforcement And Market Oversight, Delivered At NYU Law School

Date 26/04/2021

Highlights

• The Senior Managers Regime (SMR) has changed the way firms allocate responsibilities, align those responsibilities to relevant controls and ensure oversight as to how these controls operate down the line.
• The 5 Conduct Questions (5CQ), which start with ‘tone from the top’, are increasingly focussing on ‘tone from within’ which requires every person in an organisation to be personally accountable and engaged. 
• Every employee of a regulated firm is subject to individual conduct rules, which impose broad obligations. 
• The SMR and 5CQ questions require firms to think about how a system or function might fail because of non-compliance, and they inject a sharper focus on conduct risk into the fabric of an organisation. 
• As demonstrated by enforcement cases, failures are not necessarily failures of compliance, but the consequence of choices made by individuals.