News Centre

Joint Statement Of SEC Commissioners Robert J. Jackson, Jr. And Allison Herren Lee On Proposed Changes To Regulation S-K

Date 27/08/2019

We support sending out for public comment the recently proposed revisions to Regulation S-K, the central repository for non-financial statement disclosure. We’re especially grateful to our colleagues in the Division of Corporation Finance, Director Bill Hinman, Betsy Murphy, Felicia Kung, Lisa Kohl, Elliott Staffin, Sandra Hunter Berkheimer, and Shehzad Niazi for their careful and diligent work on this proposal.

With The US Corporate Bond Market Evolving, TABB Research Examines How Strategies, Trading, Services Are Dealing With New Electronic Trading Venues And Market Forces

Date 27/08/2019

TABB Group says the US Corporate Bond market is at the center of a whirlwind storm, an evolving bond market ecosystem with the buy side in the eye of that storm.

SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser With $100 Million Fraud

Date 27/08/2019

The Securities and Exchange Commission today charged a Pennsylvania investment adviser with operating an investment advisory fraud involving over $100 million in investments. The SEC also obtained an emergency asset freeze.

ESMA Issues Opinions On Product Intervention Measures By Slovenia

Date 27/08/2019

The European Securities and Markets Authority (ESMA) has today issued two positive opinions on product intervention measures taken by the National Competent Authority (NCA) of Slovenia. ESMA’s opinion finds that the proposed measures are justified and proportionate and that it is necessary for NCAs of other Member States to take product intervention measures that are at least as stringent as ESMA’s measures. 

Nasdaq CFO Michael Ptasznik To Present At Barclays Global Financial Services Conference 2019

Date 27/08/2019

Moscow Exchange: Risk Parameters Change On Securities market

Date 27/08/2019

CCP NCC is changing PcH_max parameter value that defines price up limit for VRSB shares on Securities market starting from August 28, 2019:

SEC: RSM US LLP Charged With Violating Auditor Independence Rule

Date 27/08/2019

The Securities and Exchange Commission today charged public accounting firm RSM US LLP with violations of the agency’s auditor independence rules in connection with more than 100 audit reports involving at least 15 audit clients.

Nigerian Bourse Sets To Host 4th Edition Of Nigerian Stock Exchange Market Data Workshop

Date 27/08/2019

The Nigerian Stock Exchange (NSE) is set to host the 4th edition of the NSE Market Data Workshop. The event is scheduled to hold on Wednesday, September 11, 2019, at the Harbour Point, 4 Wilmot Close, Victoria Island, Lagos.

Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange And Montréal Exchange Closed For Labour Day

Date 27/08/2019

Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange and Montréal Exchange will be closed on Monday, September 2, 2019 for the Labour Day holiday.

Abacus Group Completes SOC1 Type 2 Audit - Completion Of SOC1 Type 2 Ensures Highest Level Of Cloud Security And Reliability

Date 27/08/2019

Abacus Group, a leading provider of hosted IT solutions and services for alternative investment firms, today announced it has successfully completed the Service Organization Controls (SOC1) Type 2 audit for its application hosting and managed cloud services. The successful completion of the SSAE18 examination in July marks Abacus’ ninth consecutive year of completing a SAS70/SSAE16/SSAE18 audit, ensuring the highest level of security and internal controls.