News Centre

CAT ClientOrderID Requirement For BOX Participants

Date 14/09/2018

BOX Exchange LLC (“BOX” or the “Exchange”) expects to commence Phase 1 reporting into the Consolidated Audit Trail on November 15, 2018. Accordingly, it is now mandatory for BOX Participants using both FIX and SAIL to include a ClientOrderID within each Order submitted to the Exchange. 

SEC Charges Investment Advisers With Defrauding Retail Advisory Clients

Date 14/09/2018

The Securities and Exchange Commission today charged an Indianapolis-based investment advisory firm and its sole owner with selling approximately $13 million of high-risk securities to more than 120 advisory clients – many of whom are current or former teachers or other workers in public education – without disclosing that the firm and its owner stood to receive commissions of up to 18 percent from the sales. 

US Federal And State Financial Regulatory Agencies Issue Interagency Statement On Supervisory Practices Regarding Financial Institutions Affected By Hurricane Florence

Date 14/09/2018

The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the National Credit Union Administration, and the state regulators recognize the serious impact of Hurricane Florence on the customers, members, and operations of many financial institutions and will provide appropriate regulatory assistance to affected institutions subject to their supervision. The agencies encourage institutions operating in the affected areas to meet the financial services needs of their communities.

SEC Charges Citigroup For Dark Pool Misrepresentations - Citigroup And Affiliate Ordered To Pay More Than $12 Million In Disgorgement And Penalties

Date 14/09/2018

The Securities and Exchange Commission today entered an order finding that Citigroup Global Markets Inc. misled users of a dark pool operated by one of its affiliates. 

CFTC Commissioner Quintenz To Participate In A Panel Discussion At Global Innovation Institute

Date 14/09/2018

Nigerian Stock Exchange Weekly Market Report For 14 September 2018

Date 14/09/2018

A total turnover of 960.940 million shares worth N18.329 billion in 16,896 deals were traded this week by investors on the floor of the Exchange in contrast to a total of 892.725 million shares valued at N13.075 billion that exchanged hands last week in 15,607 deals.

UK’s Financial Conduct Authority: Our Approach To Overseas Market Operators Seeking To Apply To Become A Recognised Overseas Investment Exchange (ROIE)

Date 14/09/2018

We have published a direction clarifying how an EEA market operator may make an application to become a recognised overseas investment exchange (ROIE) (PDF), to enable the participation of the exchange in UK markets, should they no longer be able to rely on MiFID II passport rights once the UK leaves the EU. Overseas investment exchanges which do not carry on regulated activities in the United Kingdom need take no action.

TIM Export Index Comes Into The Market With An Opening-Bell Ceremony At Borsa İstanbul

Date 14/09/2018

In partnership of Borsa İstanbul and Turkish Exporters’ Assembly, Borsa İstanbul’s bell rang for TIM Export Index which was launched on September 14, 2018 with a ticker of #TIMEX. The index consists of 55 companies which show the best performances out of all export companies in Turkish industry and also be traded in BIST Stars or BIST Main on Borsa İstanbul. These companies are also on the “TIM Top 1000” list announced by TIM annually. Moreover, to be included in the index, the average free float market cap of the last three months should be higher than 50 million TL. The relative weight of each constituent is capped at 10%.

Michael Nascimento Sentenced To 11 years Imprisonment In UK Financial Conduct Authority Prosecution Of 2.8m Investment Fraud

Date 14/09/2018

Michael Nascimento (DOB 28th June 1977), was today sentenced to 11 years imprisonment for his role in a share fraud carried out through a series of boiler room companies which led to the loss of more than 2.8m of investors money. He was the controlling mind, instigator and the main beneficiary of the fraud.

Moscow Exchange Risk Parameters Change On FX And Precious Metals Market

Date 14/09/2018

CCP NCC sets the following risk parameters on FX and precious metals market starting from September 17, 2018: