News Centre

CFTC Orders Chicago Prop Firm And 3 Traders To Pay $745,000 For Spoofing In Agricultural And Metals Futures

Date 30/09/2020

The  Commodity Futures Trading Commission issued four orders today filing and settling charges against Brendan Delovitch and Wesley Johnson both of Canada, Rajeev Kansal of India, and ARB Trading Group LP, a proprietary trading firm headquartered in Chicago, for spoofing across four exchanges in various agricultural and metals futures contracts.

Nasdaq Announces 2020 Investor Day

Date 30/09/2020

Nasdaq, Inc. (Nasdaq: NDAQ) will host its 2020 Investor Day on Tuesday, November 10, 2020 via live webcast. Adena Friedman, President and CEO, and other members of Nasdaq's senior leadership team will host presentations about the company's operations and strategy. The Investor Day’s virtual format will provide analysts and investors with the ability to participate in live Q&A sessions with Nasdaq’s senior leadership team.

SEC: Morgan Stanley Agrees To Pay $5 Million For Reg SHO Violations In Prime Brokerage Swaps Business

Date 30/09/2020

The Securities and Exchange Commission today announced settled charges against Morgan Stanley & Co. LLC for violations of Regulation SHO, the regulatory framework governing short sales.

Amman Stock Exchange: The ASE index Quarterly Review

Date 30/09/2020

Mr. Mazen Wathaifi the Chief Executive Officer of the Amman Stock Exchange (ASE) said that the ASE has conducted the periodic quarterly review of the ASE index constituents in purpose of ensuring that the ASE General Price Index reflects the market performance and the trading activity of the listed companies. By this rebalancing, the activity of listed companies in regard to trading during the last quarter has been reviewed. After that, the ASE has conducted its screening process for all listed companies using the full market capitalization of the companies and the number of trading days during last quarter.

Qatar Stock Exchange: QE Index, QE Al Rayan Islamic Index And QE All Share Constituents October 1st 2020

Date 30/09/2020

Market Notice # 024 (September 15, 2020) provided constituent changes of all QSE indices effective October 1st, 2020. 
 

ECB Publishes Statement Of Compliance Of €STR With IOSCO Principles For Financial Benchmarks

Date 30/09/2020

• Statement explaining how ECB administers €STR
• Compliance of the ECB with IOSCO Principles, and therefore with international best practice, in its administration of €STR
• Independent assurance by external auditor

Barclays Appoints Group Chief Risk Officer

Date 30/09/2020

Barclays has appointed Taalib Shaah as Group Chief Risk Officer, subject to regulatory approvals. Mr Shaah will join the Executive Committee of Barclays, reporting to Group Chief Executive, Jes Staley, and he will assume his new role on the 5th of October 2020.

ESMA Releases Statement Concerning The Applicability Of Level 3 Guidance Under The Prospectus Directive

Date 30/09/2020

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has released a public statement concerning the applicability of level 3 guidance published under the Prospectus Directive.

MNI Chicago Business Barometer™ – Surges To 62.4 In September

Date 30/09/2020

Key Points – September Report

The Chicago Business Barometer^TM, produced with MNI, jumped to 62.4 in September, the highest level since December 2018, as business activity recovered across the board. Through Q3, business sentiment recovered sharply to 55.2, the strongest reading since Q1 2019.

Technology Innovator Of The Year Shortlisting For Evidology Systems

Date 30/09/2020

Evidology Systems, the leading 2nd generation RegTech company addressing principles-based regulations, is announcing today it has been shortlisted by the Computing Technology Product Awards 2020 in the ‘Technology Innovator of the Year’ category. This comes only a month after being shortlisted by the Data Management Awards’ in the ‘Best Data Solution for Regulatory Compliance’ category.