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Raiffeisen Centrobank Expands ResearchPool’s Company Research Coverage Of Austria, Central And Eastern Europe And Russia

Date 28/01/2020

ResearchPool, the Paris-based investment research technology platform, is delighted to welcome Raiffeisen Centrobank to its growing marketplace as a research provider where it will make its company research available to a broader network of investors.
Monetary Authority Of Singapore: Payment Services Act Comes Into Force

Date 28/01/2020

The Monetary Authority of Singapore (MAS) today announced the commencement of the Payment Services Act (PS Act). The new PS Act will enhance the regulatory framework for payment services in Singapore, strengthen consumer protection and promote confidence in the use of e-payments.
Japan Financial Services Agency: Release Of videos Of "G20 High-Level Seminar On Financial Innovation" And "G20/OECD Seminar On Corporate Governance"

Date 28/01/2020

The FSA released videos of "G20 High-level Seminar on Financial Innovation" and "G20/OECD Seminar on Corporate Governance" hosted/co-hosted by the FSA at the Hilton Fukuoka Sea Hawk on June 8, 2019, as part of the program of the G20 Finance Ministers and Central Bank Governors meeting.
British Columbia Securities Commission Seeks Insights Through Two New Stakeholder Forums

Date 27/01/2020

The British Columbia Securities Commission (BCSC) is seeking input from interested stakeholders through two new advisory groups.
Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date January 15, 2020

Date 27/01/2020

At the end of the settlement date of January 15, 2020, short interest in 2,414 Nasdaq Global Market^SMsecurities totaled 8,232,404,262 shares compared with 8,231,112,337 shares in 2,425 Global Market issues reported for the prior settlement date of December 31, 2019. The mid-January short interest represents 5.79 compared with 4.15 days for the prior reporting period.

NYSE Group Consolidated Short Interest Report

Date 27/01/2020

NYSE today reported short interest as of the close of business on the settlement date of January 15, 2020.
CFTC Orders Commodity Pool Operator, CEO To Pay More Than $10 Million For Misleading Statements, Supervision Failures - Portfolio Manager Charged with Fraud

Date 27/01/2020

The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Catalyst Capital Advisors LLC, of Huntington, New York, and its CEO, Jerry Szilagyi, for materially misleading statements made by Catalyst and one of its portfolio managers, and for failing to implement an adequate supervisory system to prevent such misstatements. Separately, the CFTC charged the portfolio manager, Edward Walczak, of Madison, Wisconsin, with fraud in a complaint filed in the U.S. District Court for the Western District of Wisconsin.
SEC Charges Portfolio Manager And Advisory Firm With Misrepresenting Risk In Mutual Fund

Date 27/01/2020

The Securities and Exchange Commission today announced charges against a New York-based investment adviser for misleading investors about the management of risk in a mutual fund. Catalyst Capital Advisors LLC (CCA) and its President and Chief Executive Officer, Jerry Szilagyi, agreed to pay a combined $10.5 million to settle the charges. The SEC also filed a complaint in federal district court in Madison, Wisconsin, against Senior Portfolio Manager, Edward Walczak, for fraudulently misrepresenting how he would manage risk for the fund.
Registration Open For CFTC, Kansas State University’s AgCon2020 - CFTC, K-State Partner For Third Annual Agricultural Commodity Futures Conference

Date 27/01/2020

The Commodity Futures Trading Commission and the Center for Risk Management Education and Research at Kansas State University today announced that registration is open for the third annual Agricultural Commodity Futures Conference (AgCon2020). First held in 2017, the conference is scheduled for April 1-2 in Overland Park, Kansas. Register for AgCon2020 HERE.
SEC Office Of Compliance Inspections And Examinations Publishes Observations On Cybersecurity And Resiliency Practices

Date 27/01/2020

The Securities and Exchange Commission Commission's Office of Compliance Inspections and Examinations (OCIE) today issued examination observations related to cybersecurity and operational resiliency practices taken by market participants.