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Securities Commission Malaysia Releases New Malaysian Code On Corporate Governance To Strengthen Corporate Culture

Date 26/04/2017

Securities Commission Malaysia (SC) today released the new Malaysian Code on Corporate Governance (MCCG), a set of best practices to strengthen corporate culture anchored on accountability and transparency.
Tokyo Commodity Exchange: Final Settlement Prices Of April 2017 Mini And Option Contracts

Date 26/04/2017

Final Settlement Prices of April 2017 Mini & Option contracts
Gold Mini (Gold Options) : 4,506yen(per gram)
NYSE Group Consolidated Short Interest Report

Date 26/04/2017

NYSE today reported short interest as of the close of business on the settlement date of April 13, 2017.
Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date April 13, 2017

Date 25/04/2017

At the end of the settlement date of April 13, 2017, short interest in 2,331 Nasdaq Global Market^SM securities totaled 7,392,861,463 shares compared with 7,313,893,228 shares in 2,329 Global Market issues reported for the prior settlement date of March 31, 2017. The mid-April short interest represents 4.81 days average daily Nasdaq Global Market share volume for the reporting period, compared with 4.33 days for the prior reporting period.
Office Of The Comptroller Of The Currency Fines U.S. Bank National Association $15 Million For Bankruptcy Filing Violations

Date 25/04/2017

The Office of the Comptroller of the Currency (OCC) today assessed a $15 million civil money penalty against U.S. Bank National Association for bankruptcy filing violations.

SEC: Broker Charged With Defrauding Customers

Date 25/04/2017

The Securities and Exchange Commission today charged a former broker with knowingly or recklessly trading unsuitable investment products in the accounts of five customers and misappropriating more than $170,000 from one of those customers.
Canadian Securities Regulators Seek Comment On Potential Oversight Requirements For Foreign Audit Firms

Date 25/04/2017

The Canadian Securities Administrators (CSA) today published for comment CSA Consultation Paper 52-403 Auditor Oversight Issues in Foreign Jurisdictions (Consultation Paper), which seeks input on whether certain oversight requirements should be introduced for audits done by foreign firms.
SEC Awards Nearly $4 Million To Whistleblower

Date 25/04/2017

The Securities and Exchange Commission today announced an award of nearly $4 million to a whistleblower who tipped the agency with detailed and specific information about serious misconduct and provided additional assistance during the ensuing investigation, including industry-specific knowledge and expertise.
European Union: High-Level Response To JC Discussion Paper 2016 86 On The Use Of Big Data By Financial Institutions

Date 25/04/2017

The SMSG’s overall view of the Big Data phenomenon is consistent with the analysis of its potential benefits and risks identified in the JC Discussion Paper. The use of Big Data by financial institutions has the undisputed potential to improve the variety and quality of service provision; at the same time, the increasing use of Big Data entails a set of investor protection risks which calls for a close monitoring by supervisors.
ESMA Publishes An Opinion On MAR Accepted Market Practices On Liquidity Contracts

Date 25/04/2017

The European Securities and Markets Authority (ESMA) has published an opinion on the points for convergence in relation to accepted market practices (AMP) under the Market Abuse Regulation (MAR) on liquidity contracts. These agreed points are expected to be used as a reference in the assessment of the MAR AMPs on liquidity contracts that national competent authorities (NCAs) may submit to ESMA after a domestic consultation and on which ESMA will have to issue an opinion.