News Centre

SGX Deepens Cooperation With Chongqing Bureau To Promote Capital Flows And Facilitate Fundraising For Central And Western China Enterprises

Date 11/09/2019

Singapore Exchange (SGX) today entered into a Memorandum of Deepening Cooperation (Memorandum) with Chongqing Municipal Financial Regulatory Bureau (Chongqing Bureau, formerly known as Chongqing Financial Affairs Office or Chongqing FAO) that strengthens joint efforts to encourage capital flows and enterprise fundraising. 

ASIC Update On Royal Commission Implementation

Date 11/09/2019

ASIC today provided its second update on its actions in response to the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry (the Royal Commission).

CFTC Charges Trading Systems Firm And Its Principal With Solicitation Fraud And False Statements

Date 11/09/2019

The U.S. Commodity Futures Trading Commission today filed a civil lawsuit in the U.S. District Court for the Southern District of New York against Canadian resident Simon Jousef and his business FuturesFX.  The defendants are charged with fraudulently soliciting people, in the U.S. and abroad, to subscribe to a trading system that included a supposedly “live” foreign exchange (forex) and commodity futures online trading room, educational videos, and online support(trading system).  In addition, the CFTC’s complaint charges Jousef with making false or misleading statements to the National Futures Association (NFA). 

Ngā Mea Waiwai O Te Tūranga Whakataka - IoD And New Zealand Financial Markets Authority Release Te Reo Māori Directors’ Guide

Date 10/09/2019

The Financial Markets Authority (FMA) and Institute of Directors (IoD) have released a te reo Māori translation of The Essentials of Being a Director, coinciding with Māori Language Week.

CFTC Commissioner Quintenz To Participate At The Eurofi Financial Forum 2019 In Helsinki

Date 10/09/2019

New York Attorney General Letitia James Leads Coalition Suing SEC For Putting Brokers Ahead Of Investors - ‘Regulation Best Interest’ Fails To Protect Investors Or Meet Standards Laid Out In Landmark Dodd-Frank Act

Date 10/09/2019

New York Attorney General Letitia James today led a coalition of eight attorneys general from around the nation in filing a federal lawsuit, in the Southern District of New York, challenging the Securities & Exchange Commission’s (SEC) “Regulation Best Interest” for failing to meet basic investor protections that were laid out in the historic 2010 Dodd-Frank Act.

CFTC’s Global Markets Advisory Committee To Meet On September 24

Date 10/09/2019

The U.S. Commodity Futures Trading Commission’s Global Markets Advisory Committee (GMAC) announced that it will hold a public meeting on Tuesday, September 24, 2019, at CFTC’s Washington, DC headquarters.

Merrill Lynch Ordered To Pay $300,000 Penalty For Failing To Promptly Produce Audit Trail Data

Date 10/09/2019

The U.S. Commodity Futures Trading Commission today issued an order filing and settling charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), a registered futures commission merchant, for failing to promptly produce to the CFTC certain required records and, separately, failing to supervise its employees and agents to ensure that they fulfilled the firm’s statutory and regulatory obligations to keep and promptly produce such records.

Rosenthal Collins Group Division Of Marex Spectron Statement On The Passing Of J. Robert Collins

Date 10/09/2019

The Rosenthal Collins Group (RCG) Division of Marex Spectron today issued the following statement on the Sept. 10 passing of its co-founder and former Managing Member J. Robert (Bob) Collins at the age of 77.

CFTC Commissioner Behnam To Participate In A Q&A Session At The SFA Libor Symposium

Date 10/09/2019