News Centre

Lending Standards Board Appoints Powerhouse Trio As Non-Executive Directors

Date 04/04/2024

• Broadcaster Iain Dale, economist Paul Johnson, and charity leader Caron Bradshaw OBE take on Non-Executive Director roles with the Lending Standards Board
• New NEDs replace Liz Barclay and Graham Peacop who have reached the end of their terms

NZX Shareholder Metrics - March 2024

Date 04/04/2024

Please see attached NZX Limited shareholder metrics for March 2024.

The Outlook For The U.S. Economy And Monetary Policy, Federal Reserve Governor Adriana D. Kugler, At The Weidenbaum Center On The Economy, Government, And Public Policy, Washington University In St. Louis, St. Louis, Missouri

Date 03/04/2024

Thank you, Andrew, and thank you for the opportunity to speak here today. I am very pleased to be talking here at the Weidenbaum Center. As an economist currently working on policy, but with a long trajectory in research, I particularly appreciate the center's multidisciplinary approach to building bridges between these two applications of economics.

Cboe Global Markets Reports Trading Volume For March 2024

Date 03/04/2024

Cboe Global Markets, Inc. (Cboe: CBOE), the world's leading derivatives and securities exchange network, today reported March 2024 trading volume statistics across its global business lines and provided guidance for selected revenue per contract/net revenue capture metrics for the first quarter of 2024.

Remarks At SEC Speaks 2024 Division Of Examinations Panel, Richard Best, Director, SEC Division Of Examinations, Washington D.C., April 2, 2024

Date 03/04/2024

Good afternoon, everyone!

I’m Rich Best, the Director of the SEC’s Division of Examinations. 

SEC Charges Advisory Firm Senvest Management With Recordkeeping And Other Failures

Date 03/04/2024

The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. The SEC also charged Senvest with failing to enforce its code of ethics. To settle this matter, Senvest admitted the facts set forth in the Commission’s order, acknowledged that its conduct violated the federal securities laws, and agreed to pay a $6.5 million penalty and to implement improvements to its compliance policies and procedures.

CFTC Chairman Behnam To Discuss Global Regulatory Priorities At ISDA’s 38th Annual General Meeting

Date 03/04/2024

MIAX Exchange Group - Options & Equities Markets - Reg SCI / SIFMA BCP Testing On Saturday, October 5, 2024

Date 03/04/2024

Overview: 

The MIAX Exchange Group will be participating in the 2024 SIFMA BCP Testing on Saturday, October 5, 2024.  All Members that are required to test with MIAX Options, MIAX Pearl Options, MIAX Emerald Options and/or MIAX Pearl Equities Exchanges in accordance with Regulation Systems Compliance and Integrity (Regulation SCI) were notified on April 2nd and April 3rd, 2024.  However, all Members are encouraged to test. 

CFTC Commissioner Pham To Speak At HSBC Global Investment Summit

Date 03/04/2024

TMX Group Consolidated Trading Statistics - March 2024

Date 03/04/2024

TMX Group Limited today announced March 2024 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange (Alpha), including Alpha-X & Alpha DRK, and Montréal Exchange (MX).