News Centre

Hong Kong Securities And Futures Commission Reprimands And Fines BMI Securities Limited $3.7 Million And Suspends Its Responsible Officer For Breaches Of Anti-Money Laundering Regulatory Requirements

Date 11/02/2020

The Securities and Futures Commission (SFC) has reprimanded and fined BMI Securities Limited (BMISL) $3.7 million for failures in complying with anti-money laundering (AML) and counter-terrorist financing (CFT) regulatory requirements.

Eurex Exchange: Fixed Income Highlights – February 2020 Edition

Date 11/02/2020

SET Earns Prestigious LEED Certification, Highest Score In Thailand And 3rd Place In The World, Confirming Well-Promoted All Aspects Of Sustainability

Date 11/02/2020

The Stock Exchange of Thailand’s headquarters located on Ratchadapisek road has recently gained LEED certification for Existing Buildings Operations & Maintenance (EBOM) with highest score in Thailand while ranking at the third place in the world, based on the environmental performance and sustainable operations. The prestigious accomplishment echoes SET’s vision of Growing Together for Inclusive Well-being.

BME To Bring 17 Spanish Mid & Small Caps Together With European Investors In Frankfurt - Together These Companies Boast A Combined Market Value Of €14.66 Billion

Date 11/02/2020

Today marks the start of the 13th edition of the Frankfurt European Midcap Event, an annual meeting in which BME will be a sponsor for the third time. The event aims to bring into contact medium and small capitalisation companies from different European countries with more than 47 investors interested in this profile of issuers.

ResearchPool Launches A New Interactions Management Tool For Buy-Side Users

Date 11/02/2020

ResearchPool, the innovative investment research management platform and marketplace, is excited to announce the launch of a new interactions management tool on its platform that allows buy-side firms to simplify the monitoring, aggregation, analysis and evaluation of investment research and corporate access related interactions.

Nasdaq Stockholm Orders Bayn Europe AB To Pay A Fine Corresponding To Four Annual Fees

Date 11/02/2020

The Disciplinary Committee of Nasdaq Stockholm has found that Bayn Europe AB (the “Company”) has breached the Nasdaq First North Growth Market Rulebook (the “Rulebook”) and has therefore ordered the Company to pay a fine of four annual fees, corresponding to an amount of SEK 400,000.

SGX Reports Market Statistics For January 2020

Date 11/02/2020

• Broad-based growth in trading activity across cash equities, equity derivatives and FX contracts
• Record open interest across commodity derivatives

Shenzhen Stock Exchange Upgrades Its Distance Training To Meet What The Market Needs

Date 11/02/2020

To actively respond to the needs for market training during the anti-epidemic effort, SZSE launched the first session of upgraded open distance training to improve the mode of market services and strengthen business support and services. The distance training focuses on the implementation of the new Securities Law and sweeping reforms of the capital market, and provides safe, convenient and professional services to market players.

ASIC Update On Compensation For Financial Advice Related Misconduct

Date 11/02/2020

Six of Australia's largest banking and financial services institutions paid or offered a total of $749.7 million in compensation, as at 31 December 2019, to customers who suffered loss or detriment because of non-compliant adviceor fees for no service (FFNS) misconduct.

Steve Harker Joins Future Now Ventures

Date 11/02/2020

Future Now Ventures is pleased to announce that Steve Harker has joined the venture capital firm as the inaugural Chairman of the Executive Committee and Investment Committee. In this role, he will be drawing on his extensive financial services and leadership experience to help assess key investment decisions and support compliance frameworks, while assisting portfolio companies and their leaders manage growth strategies.