News Centre

EBRD Invests In 7 Years Senior Bonds Issued By Warsaw Stock Exchange

Date 30/09/2015

The European Bank for Reconstruction (EBRD) is purchasing PLN 20 million (approx. €4.7 million equivalent) of senior unsecured bonds issued by the Warsaw Stock Exchange (WSE) to support the bourse’s contributions to the development of Poland’s debt capital market.

AGM Addresses By The Chairman And The Managing Director And CEO Of The ASX

Date 30/09/2015

It is my pleasure to be with you today for the fourth time as your Chairman.

2015 was a positive year for our company. ASX achieved record financial performance and made good progress towards achieving its strategic objectives.

Westpac MNI China Consumer Sentiment Rises Further In September - Consumers Brush Off Stock Market Declines With Sentiment Hitting Highest Level Since May 2014

Date 30/09/2015

In contrast to the global barrage of negativity surrounding China’s economic fortunes, ordinary Chinese consumers have become increasingly upbeat. Following a minor setback early in Q2, consumer confidence has been steadily improving since October’s trough last year and rose for the fourth consecutive month in September.

SPG And SPGI Director Pleads Guilty To New Zealand's Financial Markets Authority Charges

Date 30/09/2015

Former company director and financial adviser, Andrew Hrothgar Robinson, has today pleaded guilty to charges brought by the Financial Markets Authority (FMA), relating to his involvement as director of Strategic Planning Group Limited (SPG) and SPG Investment Company No.1 Limited (SPGI).

Alberta Securities Commission: Joseph Bucci Sentenced To 18 Months For Role In “Pump And Dump” Scheme

Date 29/09/2015

Joseph Gaetano Bucci, president and CEO of Coastal Pacific Mining Corp., has pled guilty to acting as a dealer of securities without registration, not filing a prospectus, and engaging in a course of conduct that resulted in a false appearance of trading activity and an artificial price for the Coastal Pacific securities.  Provincial Court Judge Skene accepted the pleas and sentenced Bucci to an 18 month conditional sentence. 

CFTC To Issue Whistleblower Award Of Approximately $290,000 - Whistleblower Provided Valuable Information About Violations Of The Commodity Exchange Act, Which Resulted In An Enforcement Action

Date 29/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it will make an award of approximately $290,000 to a whistleblower for providing valuable information about violations of the Commodity Exchange Act (CEA).

FINRA Sanctions UBS Puerto Rico $18.5 Million For Supervisory Failures Regarding Sales Of Puerto Rican Closed-End Funds And Related Loans

Date 29/09/2015

The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined UBS Financial Services Incorporated of Puerto Rico (UBS PR) $7.5 million for supervisory failures related to the suitability of transactions in Puerto Rican closed-end fund (CEF) shares. In addition, FINRA ordered UBS PR to pay approximately $11 million in restitution to 165 customers who were forced to realize losses on their CEF positions.

SEC Names William Royer to Lead Exam Program in Atlanta Office

Date 29/09/2015

The Securities and Exchange Commission today announced that William Royer has been named the new head of the examination program in the Atlanta Regional Office.

SIFMA's Bleier Urges Reproposal Of DOL's Retirement Regulation At IMCA Conference

Date 29/09/2015

SIFMA's managing director and associate general counsel Lisa Bleier today offered closing remarks on the impact of the Department of Labor's fiduciary rule proposal at the "Focus on Fiduciary" event hosted by the Investment Management Consultants Association (IMCA) at the National Press Club in Washington, DC. Bleier's full prepared remarks can be found here: http://www.sifma.org/news/news.aspx?id=8589956785  

SEC Charges Investment Adviser With Fraud

Date 29/09/2015

The Securities and Exchange Commission today announced fraud charges against a registered investment adviser and its owner for allegedly engaging in self-dealing and failing to disclose material facts to clients regarding conflicts of interest, use of investor funds, and the risks of the investments they recommended.