News Centre

Majority Of Canadian Investors Surveyed Want Investment Advice From A Regulated Source - IIROC Research Reveals Gaps Between What Current And Aspiring Investors Think Of Regulation

Date 21/01/2020

Nearly nine in 10 (87%) of current investors and nearly seven in 10 (67%) of aspiring investors feel it's important that investment advice come from a regulated firm or individual, according to national survey results from the Investment Industry Regulatory Organization of Canada (IIROC).

Nasdaq Recognized As A “Best Place To Work For LGBTQ Equality” For The Second Consecutive Year - Receives Perfect Score On Human Rights Campaign Foundation’s Annual Scorecard assessing LGBTQ Workplace Equality

Date 21/01/2020

For the second consecutive year, Nasdaq received a 100 percent score on the 2020 Corporate Equality Index (CEI), in recognition of its inclusive workplace. CEI is the nation’s leading benchmarking survey and report on corporate policies and practices related to LGBTQ workplace equality, administered by the Human Rights Campaign (HRC) Foundation.

SEC Files Charges Against Scheme To Sell Fictitious Interests In Marijuana Company

Date 21/01/2020

The Securities and Exchange Commission today announced charges against Guy S. Griffithe and Robert W. Russell, and three companies they controlled, for an alleged scheme that defrauded investors who thought they were purchasing interests in a Washington-licensed recreational cannabis company out of approximately $4.85 million.

Business Development Professional Joins Drawbridge As Market Demand And Expanded Software Portfolio Drive Explosive Company Growth

Date 21/01/2020

Drawbridge Partners, a premier cybersecurity software and services firm specializing in the needs of hedge fund and private equity managers, today announced the appointment of Dan Lyons as Vice President of Business Development. Lyons will be responsible for driving growth for Drawbridge’s award-winning software and services.

ESMA Publishes Responses To Joint Consultation Paper On PRIIPs KID

Date 21/01/2020

ESMA has today published the responses received to the Joint Consultation Paper concerning amendments to the PRIIPs KID.

LiquidityBook Caps Decade With Record-Setting Revenue Growth And Client Wins - SaaS-Based POEMS Provider Sees Record-Setting Results For Third Consecutive Year

Date 21/01/2020

LiquidityBook, a leading Software-as-a-Service (SaaS)-based provider of buy- and sell-side trading solutions, today announced that 2019 was a record year across all sales and client growth metrics tracked by the firm. This rapid growth was fueled by a continued rise in demand for its industry-leading POEMS (portfolio, order and execution management system) platform, which provides significant cost, management and functionality benefits over the legacy platforms many investment managers currently employ.

Moscow Exchange: Risk Parameters Change On Securities Market

Date 21/01/2020

CCP NCC sets the ban for short sells for the following securities starting from January 22, 2020:

Nasdaq European Debt Market Continues To Expand In 2019

Date 21/01/2020

• Supported by strong volume growth in Sustainable Debt and Corporate Debt.
• Nasdaq Sustainable Bond Network off to strong start with new U.S. and European issuers.

European Parliament - Brexit: Protecting The Rights Of EU Citizens Living In The UK

Date 21/01/2020

Parliament is fighting to protect the rights of EU citizens in the UK and of British citizens in the EU after Brexit.

UK Financial Conduct Authority Statement On Assessing Suitability Review 2

Date 21/01/2020

In our business plan, we outlined our intention to review the market for pensions and investment advice for a second time – the Assessing Suitability Review 2.