News Centre

HKEX Report On Initial Public Offering Applications, Delisting And Suspensions

Date 27/01/2017

Report on Initial Public Offering Applications, Delisting and Suspensions
(As at 27 January 2017)

BrokerTec Europe To Acquire e-MID SIM SpA - Acquisition Would See BrokerTec Expanding Further Into The Italian Financial Markets

Date 27/01/2017

BrokerTec, NEX Group’s global electronic fixed income trading platform, announces today that it has agreed to acquire a controlling majority stake in e-MID SIM SpA “e-MID”, the first Italian electronic central limit order book (CLOB) platform for interbank deposits and Overnight Indexed Swaps (OIS). The transaction is subject to certain conditions, including most importantly the approval of the Bank of Italy. Subject to receipt of the approval of the Bank of Italy, BrokerTec expects the transaction to complete in the next few months.

1st Money Market Paper Listed On SIX Swiss Exchange

Date 27/01/2017

UBS's Fourth Quarter And Full-Year 2016 Results - 4Q Adjusted Profit Before Tax CHF 1.1 Billion, Up 47% YoY

Date 27/01/2017

UBS Group net profit for 2016 was CHF 3.3 billion. Adjusted profit before tax for the year was CHF 5.4 billion and reported profit before tax was CHF 4.2 billion. The full-year adjusted return on tangible equity was 9.2%. Despite very challenging market conditions and macroeconomic and geopolitical uncertainty, UBS delivered solid results in 2016, while prudently managing resources and risk. As of 31 December 2016, the Group achieved CHF 1.6 billion of annualized net cost savings, an improvement from CHF 1.1 billion at year-end 2015, and is on track to achieve its CHF 2.1 billion target by the end of 2017.

ASIC Publishes 2015-16 Self Assessment Under Regulator Performance Framework

Date 27/01/2017

ASIC's 2015-16 self-assessment under the Regulator Performance Framework has been published today. The self-assessment report is now available on the ASIC website.

NZX Employee Share Plan - Team And Results

Date 26/01/2017

Following NZX’s announcement of 30 December 2016 in relation to the redemption of NZX employee restricted shares pursuant to the terms of the NZX Employee Share Plan – Team and Results (the Plan), please see the attached Senior Managers’ Relevant Interest Notice for Amanda Simpson (former NZX Chief Operating Officer).

SIFMA Executive Vice President Randy Snook Remarks At The 2017 Leaders And Experts Forum

Date 26/01/2017

Good morning. I’m Randy Snook, Executive Vice President, Business Policy and Practices at SIFMA. I’m pleased to welcome you to the “2017 Leaders & Experts Forum: Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data-Driven Age.”

CFTC General Counsel Jonathan L. Marcus To Depart Agency

Date 26/01/2017

U.S. Commodity Futures Trading Commission (CFTC or Commission) Acting Chairman J. Christopher Giancarlo today announced that General Counsel Jonathan L. Marcus will depart the agency. Mr. Marcus joined the agency in 2011 as Deputy General Counsel for Litigation, and was promoted to General Counsel in 2013. Acting Chairman Giancarlo also announced that Robert A. Schwartz, currently the Deputy General Counsel for Litigation and Adjudication, will become the Acting General Counsel.

Ontario Securities Commission Announces Fintech Advisory Committee Members

Date 26/01/2017

The Ontario Securities Commission (OSC) announced today the membership of its new Fintech Advisory Committee (FAC), which will advise OSC staff on developments in the fintech space as well as the unique challenges faced by fintech businesses in the securities industry.

Canadian Securities Regulators Publish Final Proxy Voting Protocols

Date 26/01/2017

The Canadian Securities Administrators (CSA) today published CSA Staff Notice 54-305 Meeting Vote Reconciliation Protocols, which outlines CSA staff expectations and guidance for improving the processes involved in the tabulation of proxy votes.