News Centre

HKEx Chief Executive Charles Li - Latest Charles Li Direct: Bridging The Differences Between Hong Kong And Shanghai

Date 10/08/2014

HKEx Chief Executive Charles Li has published his latest blog post to take a closer look at certain elements of Shanghai-Hong Kong Stock Connect such as the quotas, eligible stocks and investors, and trading mechanisms. Li explains why these why constraints are in place for the launch of the scheme.

Tehran Stock Exchange Re-Elects CEO, Dr. Hassan Ghalibaf Asl

Date 09/08/2014

Dr. Hassan Ghalibaf Asl has been re-elected for the fourth successive term as the CEO of Tehran Stock Exchange for a two-year tenure (2014 – 2016).

Nigerian Stock Exchange Weekly Report For The Week Ended 8 August 2014

Date 09/08/2014

A turnover of 1.430 billion shares worth N20.185 billion in 26,289 deals were traded this week by investors on the floor of The Exchange in contrast to a total of 1.345 billion shares valued at N19.580 billion that exchanged hands last week in 17,075 deals.

SEC Charges Bahamas-Based Brokerage Firm And President With Facilitating Fraudulent Scheme By Hedge Fund Manager

Date 08/08/2014

The Securities and Exchange Commission today charged a Bahamas-based brokerage firm and its president for enabling a fraud that was halted when the SEC charged the hedge fund manager at the center of the scheme.

SIFMA Provides Insight And Recommendations For Revitalizing Private-Sector Mortgage Funding

Date 08/08/2014

SIFMA today provided insight and recommendations regarding the development of a functioning private-label securitization (PLS) market that can support housing finance. Specifically, SIFMA is responding to Treasury's request for comment on the obstacles to PLS market growth and how these challenges can be addressed. SIFMA's letter represents the comprehensive views of both buy and sell side members. 

Statement On Jury Verdict In Florida Federal Court Following Trial Against Orchestrator Of Pump-And-Dump Scheme Andrew Ceresney, Director, SEC Division Of Enforcement

Date 08/08/2014

“Edward Hayter lied to investors in a microcap pump-and-dump scheme in which he profited handsomely. We are pleased that a federal jury has found him liable for violating the federal securities laws. This is yet another victory in the Commission’s multi-pronged approach to combating microcap fraud.”

CFTC Commitments Of Traders Reports Update

Date 08/08/2014

The current reports for the week of August 05, 2014 are now available.

SEC Announces Charges Against N.Y.-Based Brokerage Firm And Founder Despite Attempts To Mislead Examiners

Date 08/08/2014

The Securities and Exchange Commission today announced charges against a New York-based brokerage firm and its founder for allegedly violating net capital requirements and falsifying books and records to conceal the capital deficiencies.

SIFMA Submits Recommendations To FHFA On Guarantee Fees

Date 08/08/2014

SIFMA today submitted a comment letter to the Federal Housing Finance Agency (FHFA) in response to the agency's request for comment on Fannie Mae and Freddie Mac guarantee fees (g-fees):

 "We commend FHFA for seeking input from the industry on g-fees, and believe this is a thoughtful and measured approach to this important issue," said said Randy Snook, SIFMA executive vice president, business policies and practices. "We encourage the FHFA to consider the broader context in which g-fees will be raised, and strike a balance that protects taxpayers from credit risk and ensures the availability of credit to mortgage borrowers without unduly raising costs.  Additionally, FHFA should consider the impact of any changes on liquidity in the market and incentives that might be created related to the choice of other funding channels such as private-label MBS or FHA.  Policymakers should consider g-fees in conjunction with other policy levers available and the broader market context when attempting to encourage more private label mortgage-backed securities issuance."

Financial Conduct Authority Temporary Prohibition Of Short Selling

Date 08/08/2014

The Financial Conduct Authority (“FCA”) notifies that it temporarily prohibits short selling in the following instrument under Articles 23 (1) and 26 (4) of Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012.  This follows a decision made by another EU Competent Authority.