News Centre

NZX Employee Share Plan - Team And Results

Date 22/09/2014

NZX Limited (“NZX”) advises that it has issued 519,222 NZX employee redeemable shares (“Restricted Shares”) pursuant to the terms of the NZX Employee Share Plan – Team and Results (the “Plan”).

Remarks Of US Treasury Secretary Jacob J. Lew On The Economics Of Climate Change Hosted By The Hamilton Project At Brookings

Date 22/09/2014

Thanks, Bob, for that introduction and for your strong leadership on the importance of combating climate change, and thank you to The Hamilton Project and Brookings for hosting this event, which focuses on a matter of great significance to our economy and our nation’s future.  

SEC Announces Arrival Of New Administrative Law Judge

Date 22/09/2014

The Securities and Exchange Commission today announced that Jason S. Patil begins work at the agency this week as an Administrative Law Judge.

ISE Gemini® Reaches Daily Volume Milestone - Record Month-To-Date Market Share Exceeds 4.4 Percent

Date 22/09/2014

ISE Gemini® announced that it surpassed 900,000 contracts for the first time (actual: 948,609 contracts) in a single day on Friday, September 19. Month-to-date, ISE Gemini has an average daily volume (ADV) of 687,292 and an overall equity options market share of over 4.4 percent (excluding dividend trades), both new monthly records.

SEC: Wells Fargo Advisors Admits Failing To Maintain Controls And Producing Altered Document, Agrees To Pay $5 Million Penalty

Date 22/09/2014

The Securities and Exchange Commission today charged Wells Fargo Advisors LLC with failing to maintain adequate controls to prevent one of its employees from insider trading based on a customer’s nonpublic information.  The SEC also charged Wells Fargo for unreasonably delaying its production of documents during the SEC’s investigation and providing an altered internal document related to a compliance review of the broker’s trading.

BMV Group To Neutralize All Its Corporate Events In 2014 - The Mexican Stock Exchange's ("BMV") Sustainability Strategy Includes The Neutralization Of Greenhouse Gases Produced By Its Corporate Events - The MEXICO2 Platform Grants The "Neutral Carbon" Stamp To Environmentally-Responsible Companies That Wish To Compensate The Emissions Produced By Their Corporate Events And Flights, Energy Footprints, Among Others

Date 22/09/2014

BMV Group was granted the "Neutral Carbon” stamp by the Mexican Carbon Platform, MEXICO2 for the neutralization of carbon emissions generated by its corporate events in 2014. This Group initiative sets a precedent to motivate other responsible companies and investors to look for environmentally-friendly goods and services, to achieve targets for the reduction of greenhouse gas emissions (gases the produce climate change) and to raise public awareness of the need to contribute to the fight against global warming.

Global Advisors Bitcoin Investment Fund PLC Deploys First Round Of Client Capital

Date 22/09/2014

Global Advisors Bitcoin Investment Fund (GABI) completed its initial offer period in early September. We are pleased to announce that following this successful launch; we have taken the first step to deploy the Fund’s assets into bitcoins. Recent price weakness has been observed and attributed to a series of factors. The withdrawal of UK banking services on the Isle of Man, issues with the NYDFS Bit-license, Russian Treasury comments and weakness in gold markets are elements which contributed to recent price weakness. We timed our entry to the bitcoin market accordingly. We believe the resulting entry point represents an opportune moment to initiate our first round of capital deployment.

SEC Announces Largest-Ever Whistleblower Award

Date 22/09/2014

The Securities and Exchange Commission today announced an expected award of more than $30 million to a whistleblower who provided key original information that led to a successful SEC enforcement action. 

Remarks Of US Treasury Deputy Assistant Secretary Patrick Pinschmidt Before The ABS East Conference

Date 22/09/2014

SEC Charges New York-Based Private Equity Fund Adviser With Misallocation Of Portfolio Company Expenses

Date 22/09/2014

The Securities and Exchange Commission today charged a New York-based investment advisory firm with breaching its fiduciary duty to a pair of private equity funds by sharing expenses between a company in one’s portfolio and a company in the other’s portfolio in a manner that improperly benefited one fund over the other.