News Centre

FINRA, Bats, NASDAQ, And NYSE Fine Firms For Market Access Rule Violations

Date 28/07/2017

Four firms have been censured and fined a total of $4.75 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 (known as the Market Access Rule) and related exchange supervisory rules. The actions were taken by the Financial Industry Regulatory Authority (FINRA), along with Bats, a CBOE Holdings company; The NASDAQ Stock Market LLC; the New York Stock Exchange; and their affiliated Exchanges (collectively, “Exchanges”). The firms involved in these matters are Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. Morgan Securities LLC, and Interactive Brokers LLC.

Canadian Securities Regulators Publish Final Amendments To Custody And Other Requirements For Dealers, Advisers And Investment Fund Managers

Date 27/07/2017

The Canadian Securities Administrators (CSA) today published final amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and National Instrument 33-109 Registration Information. The amendments enhance custody requirements for certain registered firms, clarify activities that may be conducted by exempt market dealers, incorporate previously granted relief from certain Client Relationship Model Phase 2 (CRM2) requirements and provide for certain changes of a housekeeping nature.

MIAX Options - August 1, 2017 Fee Changes

Date 27/07/2017

Effective August 1, 2017, pending SEC approval, the MIAX Options Fee Schedule will be amended.  

Canadian Securities Regulators Publish Guidance On Conflict Of Interest Transactions

Date 27/07/2017

The securities regulatory authorities in Ontario, Québec, Alberta, Manitoba and New Brunswick (the participating jurisdictions) today published CSA Multilateral Staff Notice 61-302 Staff Review and Commentary on Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions.

New Tradable Indices Go Live At Euronext

Date 27/07/2017

Euronext today announced the launch of the Morningstar® Eurozone 50 IndexSM and Morningstar® Developed Markets Europe 100 IndexSM on Euronext. The launch of the new European indices for blue chips follows the signing of a strategic agreement with Morningstar announced in March 2017 to develop a series of derivative products based on Morningstar indices.

London Stock Exchange Group Plc Transaction in Own Shares

Date 27/07/2017

London Stock Exchange Group plc (the "Company") announces that it has purchased through RBC Europe Limited, in accordance with the authority granted by shareholders at the Company's Annual General Meeting on 26 April 2017, the following number of its ordinary shares of 6 79/86 pence each ("Shares") on the London Stock Exchange as part of the buyback programme announced on 29 March 2017:

BME Approves The Distribution Of A Gross €0.40 Per Share Interim Dividend - To Be Paid On September 8

Date 27/07/2017

The Board of Directors of BME today agreed to distribute a gross €0.40 per share dividend on 8 September 17, its first interim dividend against 2017 earnings.

Vienna SE Comments On Stock Exchange Act Amendment: Finally Some Movement

Date 27/07/2017

• Higher transparency requirements and improved investor protection
• Boost for employee share ownership

SEC Announces Whistleblower Award Of More Than $1.7 Million

Date 27/07/2017

The Securities and Exchange Commission today announced a whistleblower award of more than $1.7 million to a company insider who provided the agency with critical information to help stop a fraud that would have otherwise been difficult to detect.  Millions of dollars were returned to harmed investors as a result of the SEC’s ensuing investigation and enforcement action. 

Saudi Stock Exchange (Tadawul): Amending The Trading Commissions For Tradable Rights And Exchange Traded Funds (ETFs)

Date 27/07/2017

In reference to CMA’s resolution of amending trading commissions for listed shares, published on  30/6/2016. The CMA has approved amending the trading commissions for Tradable Rights and Exchange Traded Funds (ETFs) to be as the trading commissions for Listed Shares and Real Estate Investment Funds (REITs) as per the previous resolution. Accordingly, trading commissions for Tradable Rights and Exchange Traded Funds (ETFs) are to equal (0.00155) one hundred and fifty five in one hundred thousand, which equals (15.5) points (Base Values) of the transaction's value, starting from 19/12/1438H corresponding to 10/9/2017.