News Centre

Japan's Financial Services Agency: Overview Of The Japanese Regional Banks’ Financial Results For Six Months Ended September 30, 2019

Date 06/12/2019

The FSA has compiled the regional banks’ financial results for six months ended September 30, 2019, as attached below.

ASIC: Financial Reporting Focuses For 31 December 2019

Date 06/12/2019

Announcing its focus areas for 31 December 2019 financial reports of listed entities and other entities of public interest with many stakeholders, ASIC has called on companies to focus on new requirements that can materially affect reported assets, liabilities and profits. 

HKEX: Exchange Seeks Views On Review Of Listing Regime For Debt Issues To Professional Investors Only

Date 06/12/2019

• Consultation on proposals to review listing regime for debt issues to professional investors only
• Balancing need to safeguard investors, whilst maintaining effective listing platform for continued bond market development
• Welcome responses through 7 February 2020

SSE Tightens Regulation Of Year-End Rush Transactions

Date 06/12/2019

Recently, the China Securities Regulatory Commission (CSRC) specifically issued an action plan to make comprehensive arrangements for improving the quality of the listed companies in the capital market. The Shanghai Stock Exchange (SSE) will focus on the plan, pool the wisdom and efforts of all market participants, work together in a multi-pronged manner, and guide the listed companies in concentrating on their main businesses, consolidating their operations and improving their quality. Recently, with the year-end rush transactions of the listed companies on the rise, the SSE’s regulators for companies have made relevant efforts in supervision, aiming to eliminate the false and retain the true, enhance the quality of the listed companies, and maintain the sound ecology and the healthy development of the capital market.

FPA Professionals Congress: A Speech By ASIC Commissioner Danielle Press At The FPA Professionals Congress, Melbourne, 28 November 2019

Date 06/12/2019

Introduction

Good afternoon everyone. Thank you for having me here to speak to you.

US Department Of Justice: Former COO And CFO Of Publicly Traded Transportation Company Charged With Securities Fraud, Bank Fraud And Lying To Auditors

Date 05/12/2019

The former chief operating officer (COO) and chief financial officer (CFO) of Celadon Group Inc. (Celadon), a publicly traded transportation and trucking company headquartered in Indianapolis, Indiana, were charged in an indictment unsealed today for their alleged role in a complex securities and accounting fraud scheme that resulted in a loss of more than $60 million in shareholder value. 

New York Attorney General Letitia James Files Lawsuit Against Private Equity Fund Manager Who Used Investor Funds As Private Piggy Bank - Fund Manager Illegally Converted More Than $13 Million In Investor Funds To Prop Up Failing Broker-Dealer

Date 05/12/2019

New York Attorney General Letitia James today announced a lawsuit against Laurence G. Allen and the various corporate entities he controls for defrauding investors and misappropriating more than $13 million to enrich himself and his companies between 2008 and 2018. The complaint — filed in New York County State Supreme Court — alleges repeated and ongoing violations of New York’s Martin Act, Executive Law § 63(12), and other common law claims.

FTSE Mondo Visione Exchange Index 0.5 % Down In November But BME Up 41.2% On Back Of Potential Bidding War

Date 05/12/2019

The FTSE Mondo Visione Exchanges Index, which aims to reflect market sentiment and is a key indicator of exchanges performance closed at 60,910.91 on 29 November 2019, down 0.5% on the month, up 23.3 % Year-to-Date and 18.1 % over 12 months (all in USD terms). The index set a new closing all-time high of 62,355.5 on 6 September 2019.

Winners Revealed For FDATA Open Finance Awards

Date 05/12/2019

The  winners of the FDATA Open Finance Awards have been announced. The Awards, which are in their second year, have been established to recognise organisations and institutions actively engaged in creating policies and delivering innovations that empower customers to leverage their financial data so that they can make better-informed decisions and take fuller control of their financial lives. 

TMX Group Consolidated Trading Statistics – November 2019

Date 05/12/2019

TMX Group Limited today announced November 2019 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange and Montréal Exchange.