News Centre

New FINRA Report: Diversity Of Cloud Computing Models Among Broker-Dealers Raises Opportunities And Challenges For The Securities Industry - FINRA Requests Comments On Report

Date 16/08/2021

A diversity of cloud computing models is transforming how broker-dealers operate, with the potential to enhance agility, efficiency, resiliency and security within firms’ operations, while also highlighting the importance for firms to consider relevant regulatory factors for maintaining investor protection and market integrity, according to a new research report from FINRA.

FIA July 2021 SEF Tracker

Date 16/08/2021

U.S. Department Of The Treasury Announces Fossil Fuel Energy Guidance for Multilateral Development Banks

Date 16/08/2021

Today, the U.S. Department of the Treasury issued Fossil Fuel Energy Guidance for Multilateral Development Banks (MDBs), which is key Guidance in response to President Biden’s Executive Order 14008 on Tackling the Climate Crisis At Home and Abroad announced earlier this year. In its Guidance, Treasury advocates for MDB investments prioritizing clean energy, innovation, and energy efficiency, which will help achieve a clean and sustainable future consistent with the development goals of the Paris Agreement. U.S. Secretary of the Treasury Janet L. Yellen previewed Treasury’s MDB Guidance at the April 2021 G7 Leaders Summit on Climate and more recently discussed this with Heads of the MDBs in July 2021.  

SEC Charges Pearson Plc For Misleading Investors About Cyber Breach

Date 16/08/2021

The Securities and Exchange Commission today announced that Pearson plc, a London-based public company that provides educational publishing and other services to schools and universities, agreed to pay $1 million to settle charges that it misled investors about a 2018 cyber intrusion involving the theft of millions of student records, including dates of births and email addresses, and had inadequate disclosure controls and procedures.

Moscow Exchange: Risk Parameters Change For The Securities - Update

Date 16/08/2021

The following risk parameters will be changed:

SEC Charges Penny Stock Company, CEO And Others With Multi-Million Dollar Fraud

Date 16/08/2021

The Securities and Exchange Commission today announced it charged an issuer, its CEO, and six other entities and individuals with participating in a penny stock fraud scheme. The SEC also charged certain of the participants with operating as unregistered dealers, and obtained emergency relief to halt their ongoing conduct.

Moscow Exchange: Risk Parameters Change For The Securities

Date 16/08/2021

The following risk parameters will be changed:

U.S. Securities And Exchange Commission And The European Central Bank Sign Memorandum Of Understanding Regarding Cooperation With Respect To Security-Based Swap Entities

Date 16/08/2021

The Securities and Exchange Commission and the European Central Bank (ECB) today announced the signing of a Memorandum of Understanding (MOU) to consult, cooperate, and exchange information in connection with the supervision, enforcement, and oversight of certain security-based swap dealers and major security-based swap participants that are registered with the SEC and supervised by the ECB. This is the first MOU between the SEC and ECB.

ETFGI Reports Record Assets And Net Inflows For ETFs And ETPs Listed In United States Of US$6.60 Trillion And US$523.89 Billion Respectively At End Of July 2021

Date 16/08/2021

ETFGI, a leading independent research and consultancy firm covering trends in the global ETFs and ETPs ecosystem, reported today record assets and net inflows for ETFs and ETPs listed in United States of US$6.60 trillion and US$523.89 billion respectively at end of July. Net inflows of US$51.71 billion were gathered during July, bringing year-to-date net inflows to a record US$523.89 billion. Assets invested in ETFs and ETPs listed in the U.S. increased by 1.5%, from US$6.51 trillion at the end of June, to US$6.60 trillion, according to ETFGI's July 2021 US 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.)  

Saxo Bank Appoints Camilla Dahl Hansen As New Chief Saxo Experience Officer

Date 16/08/2021

Today, Saxo Bank announces that Camilla Dahl Hansen has been promoted to the position as Chief Saxo Experience Officer and member of the Bank’s Executive Team. She will report directly to Kim Fournais, CEO & Founder.