News Centre

ESMA Publishes MiFID II Q&AS On Transparency And Market Structure Topics

Date 18/11/2016

The European Securities and Markets Authority (ESMA) has published two Questions and Answers (Q&A) documents regarding implementation issues relating to market structures and transparency topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR).

Securities Commission Malaysia Announces New Appointments

Date 18/11/2016

Securities Commission Malaysia (SC) today announced the appointment of Dato’ Gumuri Hussain as the Executive Chairman of Audit Oversight Board (AOB), effective 18 November 2016.

Exchange Of The Year! SIX Swiss Exchange Wins "Exchange Of The Year" Award At The Structured Products Awards Europe 2016

Date 18/11/2016

The award ceremony for the Structured Products Europe Awards 2016 was held last night at "The Mayfair" in London. A delegation of SIX Swiss Exchange led by André Buck, Head Sales, accepted the prestigious "Exchange of the Year" award as part of a formal ceremony.

Nasdaq: Big Wins For Gränges And Immunovia In The European Small & Mid Cap Awards 2016

Date 18/11/2016

Nasdaq (Nasdaq: NDAQ) congratulates Gränges (short name: GRNG) and Immunovia (short name: IMMNOV) on being selected as International Star and Star of Innovation, respectively, in the European Small and Mid Cap Awards 2016. The award is a joint initiative by the European Commission, FESE and EuropeanIssuers, and aims to promote best practices and encourage more small and medium sized enterprises (SMEs) to access capital markets via IPOs.

UK's Financial Conduct Authority Finds Weak Price Competition In Some Areas Of The Asset Management Sector

Date 18/11/2016

The Financial Conduct Authority (FCA) has today published the interim findings of its asset management market study, which suggests that there is weak price competition in a number of areas of the asset management industry.

Tokyo Commodity Exchange: Extended Inhibition Of Implied Function (Bait Order Generation)

Date 18/11/2016

The Exchange announced today that the implied function (bait order generation) will continue to be inhibited until further notice. Examinations have been implemented by the system development provider to activate bait order generation on November 28, but a glitch was newly found concerning such function within the package system. Therefore the Exchange decided to extend the current inhibition until the problem is solved. The Exchange will make an announcement once it decides to lift the inhibition.

OneChicago Holiday Trading Hours

Date 18/11/2016

In observance of the upcoming holidays, OneChicago will follow the schedule below, which is consistent with U.S. equity markets.

FINRA Sanctions Oppenheimer & Co. $3.4 Million For Reporting Violations, Failing To Comply With Discovery Obligations In Arbitrations, And Other Supervisory Failures - $1.85 Million Paid To Customers

Date 17/11/2016

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $1.575 million and ordered the firm to pay $1.85 million to customers for failing to report required information to FINRA, failing to produce documents in discovery to customers who filed arbitrations, and for not applying applicable sales charge waivers to customers.

Statement By New York Attorney General Eric T. Schneiderman On Reports That The Presidential Transition Team Is Considering Ways To Dismantle State Consumer And Investor Protection Statutes, Also Known As Blue Sky Laws

Date 17/11/2016

Attorney General Eric T. Schneiderman released the following statement after reports that the Presidential Transition Team is considering ways to dismantle state consumer and investor protection statutes, also known as Blue Sky laws:

“I am deeply troubled by reports that the Presidential Transition Team is considering ways to eviscerate some of the most basic consumer and investor protection laws in the country."

SEC Charges Renewable Energy Company, CEO, And Others With Defrauding Investors

Date 17/11/2016

The Securities and Exchange Commission today filed fraud charges against four individuals and others who allegedly profited by defrauding investors in a cash-strapped California-based renewable energy company.