News Centre

OCC Names Former BNY Mellon Executive David Ridgway As Senior Vice President, Enterprise Risk Management

Date 10/04/2017

OCC, the world's largest equity derivatives clearing organization, today announced the appointment of David Ridgway, a former senior risk management executive with BNY Mellon, as Senior Vice President, Enterprise Risk Management. Ridgway reports to John Fennell, Executive Vice President and Chief Risk Officer.

SEC: Payments For Bullish Articles On Stocks Must Be Disclosed To Investors - 27 Firms And Individuals Charged With Fraudulent Promotion Of Stocks

Date 10/04/2017

The Securities and Exchange Commission today announced enforcement actions against 27 individuals and entities behind various alleged stock promotion schemes that left investors with the impression they were reading independent, unbiased analyses on investing websites while writers were being secretly compensated for touting company stocks.

Survey Commissioned By ACER Finds Market Participants Still Experiencing Barriers To EU Gas Wholesale Market Trading

Date 10/04/2017

The Agency publishes today the results of a survey conducted among wholesale market participants - mainly shippers, suppliers, traders and energy intensive customers - across the EU on the remaining barriers to gas wholesale market trading. The survey was commissioned by the Agency and conducted by a consultant.

Palestine Securities Exchange Monthly Investor Newsletter - March 2017

Date 10/04/2017

Click here to download the March edition of the PEX Monthly Investor Newsletter.

Innovating For The Future: The Next Phase Of Project Innovate - Speech By Christopher Woolard, Executive Director Of Strategy And Competition At The FCA, Delivered At The Innovate Finance Global Summit

Date 10/04/2017

Highlights:

• Project Innovate aims to tackle regulatory barriers to allow firms to innovate in the interest of consumers. Demand from firms for our support continues to be high.
• As a forward-looking regulator, we are constantly evolving our approach. To reflect the growing reach of our work, Project Innovate is now entering a new phase.
• Central to this will be working with international partners to develop a common understanding of the principles of good innovation.
• We will also increase our engagement with regional FinTech hubs, bringing our people to firms around the country.

CBA And QxBranch Position For The Quantum Revolution

Date 10/04/2017

QxBranch, the quantum computing and data analytics software company, today announced the release of a quantum computing simulator for the Commonwealth Bank of Australia (CBA). 

FactSet And ONEaccess Team To Address Research Tracking And Valuation Challenges For MiFID II - Joint Solution Enhances The Tracking And Evaluation Of Research To Help Meet Regulatory Reporting Requirements

Date 10/04/2017

FactSet, a global provider of integrated financial information, analytical applications, and industry-leading service, and ONEaccess, a Visible Alpha company and leading corporate access and research valuation platform, announced today an alliance to provide institutional investor clients with a new suite of tools to track and value research products and services.

Warsaw Stock Exchange Monthly Statistics For March 2017

Date 10/04/2017

Warsaw Stock Exchange Monthly Statistics for March 2017 is now available:

SGX Appoints New Nembers To Independent Disciplinary And Appeals Committees

Date 10/04/2017

Singapore Exchange (“SGX”) is pleased to announce the appointment of 6 and 2 new members to its independent Disciplinary Committee and Appeals Committee respectively with effect from 10 April 2017. The appointments are made in consultation with the Monetary Authority of Singapore.

Dubai Financial Services Authority Censures Individual For Misleading Conduct

Date 10/04/2017

The Dubai Financial Services Authority (DFSA) has censured Mrs Jai Surve, a former employee of a DFSA Authorised Firm, for providing the DFSA with false and misleading information.