News Centre

Smith & Williamson Selects Broadridge’s Industry Leading Shareholder Rights Directive Ii Compliance Solution - SRD II Proxy Solution Will Help Smith & Williamson To Meet New EU Regulatory Requirements Commencing September 2020

Date 15/09/2020

Broadridge Financial Solutions, Inc. (NYSE:BR), a global Fintech leader, has announced an agreement to provide Smith & Williamson Group, a leading financial and professional services firm in the UK and Ireland, with its Shareholder Rights Directive (SRD II) solution for proxy voting. Smith & Williamson is using the Broadridge solution to support its discretionary and non-discretionary execution clients, spanning both institutional and retail investors.

Salisbury BKT Securities Replaces Bloomberg SSEOMS With Itiviti’s OMS Solution

Date 15/09/2020

Itiviti, a leading technology, and service provider of electronic trading and connectivity solutions to financial institutions worldwide, today announced that Salisbury BKT Securities Corporation (Salisbury Securities), an institutional Philippine stockbroker has deployed Itiviti’s OMS solution to replace Bloomberg’s SSEOMS platform.

ELEMENTARYb Appoints Former Government Minister Lord David Blunkett As Strategic Advisor

Date 15/09/2020

ELEMENTARYb, a financial services firm addressing the complex financial needs of the Middle Market Enterprises (MMEs) in the UK, today announced the appointment of Lord David Blunkett as strategic advisor to help the firm’s continued growth and expansion. David Blunkett will be advising the senior management team on all aspects of regulatory requirements, including compliance, cyber-intelligence and the regulatory framework which comprise the foundation of the ELEMENTARYb network.

UK Finance: Impersonation Scams Almost Double In First Half Of 2020 As Criminals Exploit Covid-19 To Target Victims

Date 15/09/2020

• Almost 15,000 impersonation scam cases reported in the first half of 2020, up 84 per cent compared to the same period last year
• £58 million lost to impersonation scams in January to June 2020, up three per cent on the previous year
• Public urged to beware of criminals exploiting Covid-19 to impersonate the police, banks, or government organisations

ETF Pioneer SIX Celebrates 20 Years Of Growth

Date 15/09/2020

As one of the first European exchanges to launch a segment for Exchange Traded Funds in 2000, today the Swiss Stock Exchange – together with its issuers and market makers – offers investors more choice than ever to trade ETFs in a liquid and secure marketplace.

BNP Paribas Securities Services Joins Forces With Digital Asset To Develop DLT Trade And Settlement Apps

Date 15/09/2020

BNP Paribas Securities Services today announces a new partnership with Digital Asset to design a number of real-time trade and settlement apps using DAML  smart contracts.

SEC Releases Report And Recommendations On The 39th Annual Small Business Forum

Date 14/09/2020

The Securities and Exchange Commission today delivered a report to Congress on the 39th Annual Small Business Forum. The Forum is a unique event where members of the public and private sectors gather to craft suggestions for policy impacting emerging businesses and their investors, from startups to smaller public companies.  The Office of the Advocate for Small Business Capital Formation hosted the 2020 Forum on June 18, 2020 in a completely virtual format, which resulted in an inclusive event that engaged entrepreneurs, investors, market participants and other thought leaders from across the country.   The 2020 Forum report is now available for download online.

NZX: Dividend Reinvestment Plan Strike Price

Date 14/09/2020

NZX advises that the strike price for the dividend reinvestment plan (DRP) operating in respect of the dividend payable on Friday 18 September 2020 has been set at $1.6257 per share.

Statement Of CFTC Commissioner Dawn D. Stump In Support Of Proposed Margin Rulemakings Based On Recommendations Of Global Markets Advisory Committee

Date 14/09/2020

Overview

I am pleased to support the two proposed rulemakings that the Commission is issuing with respect to margin requirements for uncleared swaps.

These proposed rulemakings address several recommendations that the Commission has received from its Global Markets Advisory Committee (“GMAC”), which I am proud to sponsor, and are based on a comprehensive report prepared by GMAC’s Subcommittee on Margin Requirements for Non-Cleared Swaps (“GMAC Margin Subcommittee”).  They demonstrate the value added to the Commission’s policymaking by its Advisory Committees, in which market participants and other interested parties come together to provide us with their perspectives and potential solutions to practical problems.

U.S. Department Of Justice: Remarks By Deputy Attorney General Jeffrey A. Rosen On The Settlement Of Clean Air Act Claims Against Daimler AG And Mercedes-Benz USA LLC

Date 14/09/2020

Good afternoon.  I am very pleased to be joined today by colleagues from the Department of Justice and the Environmental Protection Agency, including EPA Administrator Andrew Wheeler, Assistant Attorney General Jeff Clark, and EPA Assistant Administrator Susan Parker Bodine.  And the reason we are all here is to announce an important matter that involves the protection of our environment.