News Centre

ASX Dividend Letter

Date 30/09/2020

Attached is a letter to shareholders from the Chairman and the Managing Director and CEO regarding ASX’s FY20 final dividend and full-year financial results.

ASIC Bans BGC Securities Fixed Income Broker For Ten Years

Date 30/09/2020

ASIC has banned former BGC Securities (Australia) Pty Limited (BGC) broker David Moore, of Pullenvale, QLD, from providing financial services for ten years. 

Shenzhen Stock Exchange: Fully Support High-Quality Economic And Social Development Of Hubei After The Pandemic-- Speech By Chairman Wang Jianjun At The 2020 Capital Conference For High-Quality Development Of Hubei

Date 30/09/2020

Distinguished Secretary Ying Yong, Executive Vice Governor Huang Chuping, Secretary Wang Zhonglin, Vice Governor Zhao Haishan, Mayor Zhou Xianwang, Chairman Hu Shuguang, Director Hu Lishan, Chairman Huang Hongyuan, and dear guests,

Good morning! It is a great honor to be here again. Wuhan, a heroic city along the Yangtze River, has overcome the pandemic and gained an invincible spirit after the rebirth. I’d like to extend the highest respect to the heroic people of Wuhan and Hubei on behalf of Shenzhen Stock Exchange (SZSE)!

CFTC To Hold An Open Commission Meeting On October 6

Date 30/09/2020

Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the CFTC will hold an open meeting on Tuesday, October 6, 2020 at 10:30 a.m. (EDT). The meeting will be held virtually in accordance with the agency’s implementation of social distancing due to the COVID-19 (coronavirus) pandemic.

SEC Charges Manitex International And Three Former Senior Executives With Accounting Fraud

Date 30/09/2020

The Securities and Exchange Commission today announced settled charges against Manitex International, Inc., a Bridgeview, Illinois manufacturer and distributor of cranes, forklifts and heavy equipment, and three of its former senior executives for two accounting fraud schemes that resulted in the issuance of materially misstated financial statements.

New York State Department Of Financial Services Linda A. Lacewell's Op-Ed In Law360: We Must Hold Banks Accountable To Stop Money Laundering

Date 29/09/2020

The so-called FinCEN Files investigation from the International Consortium of Investigative Journalists and BuzzFeed News showing $2 trillion in suspicious activity reports from global banks over a period of years has generated significant news coverage, and the stock markets shivered.

Supporting Statement Of CFTC Commissioner Dan M. Berkovitz Regarding Historic Penalty Against JPMorgan and Opposing “Bad Actor” Waiver

Date 29/09/2020

I support today’s Commission action ordering JPMorgan[1] to pay $920 million—the largest monetary settlement in this agency’s history—for manipulating the precious metals and U.S. Treasury futures markets.  However, I oppose the CFTC’s determination that JPMorgan’s conduct should not result in any disqualifications under the “bad actor” provisions of the securities laws, for the reasons outlined below.

Joint Statement Of Concurrence Of CFTC Commissioners Dawn D. Stump And Rostin Behnam Regarding JPMorgan Chase & Co., Et Al.

Date 29/09/2020

We concur with the Commission’s decision to accept the Offer of Settlement from JPMorgan Chase Bank, N.A.; J.P. Morgan Securities LLC; and JPMorgan Chase & Co. (the “Respondents”).  We concur with the Commission’s findings that the Respondents engaged in unlawful spoofing, manipulation, and attempted manipulation in precious metals and treasuries markets, and that Respondent J.P. Morgan Securities LLC further breached its duty of diligent supervision, all in violation of the Commodity Exchange Act (“CEA”) and the Commission’s regulations.

Nasdaq To Hold Third Quarter 2020 Investor Conference Call

Date 29/09/2020

Nasdaq (Nasdaq: NDAQ) has scheduled its Third Quarter 2020 financial results announcement.

Senior management will be available for questions from the investment community following prepared remarks.

CFTC Orders New Jersey Firm To Pay $300,000 For Supervision Violations

Date 29/09/2020

The Commodity Futures Trading Commission today issued an order filing and settling charges against registered futures commission merchant Gain Capital Group, LLC, of Bedminster, New Jersey, for supervision violations related to its handling of customer accounts introduced by an independent introducing broker that was subject to a prior CFTC enforcement action for fraud and other violations. The order requires Gain to pay a civil monetary penalty of $300,000 and cease and desist from violating CFTC Regulation 166.3.