News Centre

Japan's Financial Services Agency: The Results Of Monitoring Customer-Oriented Business Conduct Of Investment Trust Distributors

Date 13/09/2019

The Financial Services Agency (FSA) published  the “Principles for Customer-Oriented Business Conduct” (hereinafter referred to as “the Principles”) in March 2017.The FSA encouraged financial institutions adopting “the Principles” to develop and publicize their “policy” and  “KPIs (Key performance indicators) ” which are  for the objective assessment of embeddedness of policy, and released the list of financial institutions that implemented the initiatives on the FSA website.

Tokyo Commodity Exchange: Base Prices For Four Electricity Products On Start-Up Date

Date 13/09/2019

Please be informed that the base prices for Immediately Executable Price Range (DCB Range) and Circuit Breaker Range (SCB Range) for the four electricity products to be launched on Tuesday, September 17, 2019 will be as follows.

Update - Dividend/Distribution - ASX

Date 13/09/2019

Click here for updated details on the ASX's dividend distribution.

HKEX Notice To Shareholders Regarding UK Disclosure Requirements

Date 13/09/2019

Reference is made to the announcement of Hong Kong Exchanges and Clearing Limited (HKEX) dated 11 September 2019 in relation to its possible offer for London Stock Exchange Group plc (Possible Offer).

Making A Real Difference For Real Australians - Opening Statement By ASIC Chair, James Shipton At The Parliamentary Joint Committee On Corporations And Financial Services, 13 September 2019

Date 13/09/2019

Introduction

Good morning Chair.

On behalf of my colleagues, thank you for the opportunity to appear before this committee.

Chair, I note this is our first appearance before a Committee of the 46th Parliament.

CFTC Orders Registrant To Pay $1.5 Million For Violations Related To Cyber Breach

Date 13/09/2019

The U.S. Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Phillip Capital Inc. (PCI), a registered futures commission merchant, for allowing cyber criminals to breach PCI email systems, access customer information, and successfully withdraw $1 million in PCI customer funds.  The order also finds that PCI failed to disclose the cyber breach to its customers in a timely manner.   Finally, the order finds that PCI failed to supervise its employees with respect to cybersecurity policy and procedures, a written information systems security program, and customer disbursements.

NZX Dividend Reinvestment Plan: Strike Price

Date 12/09/2019

This attached notice is given under NZX Listing Rule 3.13.1 and relates to the issue of ordinary shares in NZX Limited (NZX) under the NZX Dividend Reinvestment Plan.

CFTC Orders Chief Compliance Officer Of Trading Firm To Pay 150,000 For Fraud And False Statements To A Self-Regulatory Organization

Date 12/09/2019

The U.S Commodity Futures Trading Commission today issued an order filing and settling charges against CFTC registrant Rafael Marconato of Limeira, São Paulo, Brazil, requiring him to pay $125,000 in restitution and a $25,000 civil penalty for engaging in acts that operated as a fraud on pool participants and making false statements to the National Futures Association (NFA).

Superintendent Of New York State Department Of Financial Services Linda A. Lacewell Announces German Advisory Commission Restitution Decision - Department Of Financial Services’ Work Advocating On Behalf Of Victims Of Nazi Persecution Leads To Significant Restitution Recommendation From German Museum To Heirs Of Dr. Max Stern

Date 12/09/2019

Linda A. Lacewell, Superintendent of Financial Services, today announced that Germany’s Advisory Commission on the Return of Cultural Property Seized as a Result of Nazi Persecution, Especially Jewish Property recommended that Uhlans on the March by 19th century German Romantic Age painter Hans von Marées be returned to the Max and Iris Stern Foundation by Bavaria’s Neue Pinakothek art museum.

Lutheran Church Settles With AAlberta Securities Commission For Misleading Investors

Date 12/09/2019

The Alberta Securities Commission (ASC) has concluded a Settlement Agreement and Undertaking with the Lutheran Church-Canada, the Alberta-British Columbia District (the District) and others in connection with a long-running investment program that collapsed into insolvency in early 2015. A Company Creditors Arrangement Act (CCAA) Monitor remains in place to distribute proceeds of the insolvency to investors pursuant to directions of the Court of Queen’s Bench of Alberta.