News Centre

FINRA Sanctions Barclays Capital, Inc. $13.75 Million For Unsuitable Mutual Fund Transactions And Related Supervisory Failures

Date 29/12/2015

The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Barclays Capital, Inc. to pay more than $10 million in restitution, including interest, to affected customers for mutual fund-related suitability violations. These suitability violations relate to an array of mutual fund transactions including mutual fund switches. Additionally, the firm failed to provide applicable breakpoint discounts to certain customers. Barclays was also censured and fined $3.75 million.

Abu Dhabi Securities Exchange To Upgrade SMARTS Market Surveillance Technology

Date 29/12/2015

Abu Dhabi Securities Exchange (ADX) and Nasdaq (Nasdaq:NDAQ) have officially agreed on the implementation of an enhanced SMARTS Market Surveillance solution. ADX will leverage the industry-leading SMARTS Market Surveillance onsite solution for real-time market surveillance efforts. The upgraded solution will enhance both performance and flexibility of monitoring activities. ADX has been a SMARTS customer since 2008.

Nigerian Stock Exchange Year End Review Of Market Indices 2015

Date 29/12/2015

The Nigerian Stock Exchange (NSE) is pleased to announce the review of the NSE indices, namely:-

• The NSE 30 Index
• The NSE Lotus Islamic Index
• The NSE Banking Index
• The NSE Consumer Goods Index
• The NSE Oil & Gas index
• The NSE Pension Index
• The NSE Industrial Goods Index and
• The NSE Insurance Index

EEX: Uniper Takes Over The Data Reporting From E.ON

Date 29/12/2015

As of 4 January 2016, Uniper takes over the data publications for the conventional power plants from E.ON. Uniper will additionally send the notifications on behalf of E.ON Kernkraft GmbH and Amrum Offshore West GmbH to EEX.

Vienna Stock Exchange:Last Trading Day On December 30, 2015

Date 29/12/2015

There will be no changes in the trading times for all securities traded in Xetra® on December 30, 2015.

BME: IGBM Index New Composition For The First Half 2016

Date 29/12/2015

The index will comprise 115 stocks, after two inclusions and one exclusion

The Indice General de la Bolsa de Madrid (IGBM) Management Committee has decided, in accordance with the technical provisions for the composition, calculation and sectoral division of the IGBM index family, to approve the composition of the IGBM and Indice Total indices for the first half of 2016.

Moscow Exchange: Resumption Of Trading On Derivatives Market

Date 29/12/2015

Derivatives Market trading after intermediate clearing will resume at 14:50 MSK. The trading system is now available for order withdrawal.

HKFE Announces Revised Margins For Futures Contracts

Date 29/12/2015

Hong Kong Futures Exchange Limited (HKFE), a wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited (HKEx), has announced that with effect from the commencement of trading on Monday, 4 January 2016, the minimum margins to be collected by an Exchange Participant from its clients in respect of their dealings in the following futures contracts will be as outlined in the table below. The adjustments are based on the clearing company’s normal procedures and standard margining methodology.

Taiwan Stock Exchange’s Corporate Governance Center Website A Hit With Investors And Corporate Directors - New Website Attracting More 20,000-25,000 Per Month - Launched As Part Of The Taiwan’s Five-Year ‘Corporate Governance Roadmap’

Date 29/12/2015

A rapidly increasing number of investors, corporate directors and industry leaders are visiting the Taiwan Stock Exchange’s (TWSE) newly launched Corporate Governance Center (CGC) website.

New Moscow Exchange Indices Methodology Registered

Date 29/12/2015

The Bank of Russia registered a new Methodology of the Moscow Exchange Indices Calculation on 17 December 2015. The methodology was adopted by the Directorate of MICEX SE on 6 November 2015.