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New Zealand's Financial Markets Authority Welcomed Onto Global Forum For Independent Auditor Oversight

Date 22/12/2014

The Financial Markets Authority (FMA) has been accepted on to the International Forum of Independent Audit Regulators (IFIAR), in recognition of the robust oversight system the FMA has established in New Zealand.
Amman Stock Exchange: Christmas Holiday

Date 22/12/2014

According to the Prime Minister announcement on the occasion of Christmas Holiday, the Amman Stock Exchange (ASE) will have a holiday on Thursday 25 December 2014 .The ASE will be back to work on Sunday 28 December 2014.
Shanghai Stock Exchange Cancels 3 Registration Items

Date 22/12/2014

The Shanghai Stock Exchange (SSE) announced yesterday that 3 registration items would be cancelled, including securities companies’ subordinated bonds transfer, asset management plan’s share transfer, and participant business unit (PBU) lease. There will be no approval procedures and size limitations for applications that fall into the above-mentioned 3 items, with an aim to streamline beforehand approval items. This matches the SSE’s long-promoted idea of regulatory transformation, administration streamlining and shifting the regulation to the backstage.
SGX Welcomes China Everbright Water To Mainboard

Date 22/12/2014

Singapore Exchange (SGX) today welcomed China Everbright Water Limited (CEWL) (中国光大水务有限公司), formerly known as HanKore Environment Tech Group Limited (HanKore), to Mainboard, under the stock code of “U9E”.
NZX: Another Stellar Year For New Zealand’s Capital Markets

Date 21/12/2014

It has been another stellar year for New Zealand’s capital markets, with continued strength in capital raising and trading activity; the introduction of a range of market initiatives such as the launch of equity derivatives, a global butter futures contract, new exchange traded funds; and the registration of NXT, NZX’s market for small, high-growth businesses.

Abu Dhabi Securities Exchange (ADX ) Honors Employees

Date 21/12/2014

In its efforts aiming to develop and motivate employees and staff and to encourage them to upgrade their performance and productivity, Abu Dhabi Securities Exchange (ADX) recently held a recognition ceremony to honor a group of its employees.
NYDFS Reaches Agreement On Final Consent Judgment With Condor Capital, Obtaining Full Restitution For Consumers Under Dodd-Frank Lawsuit - Condor And Its Sole Shareholder Admit Law Violations, Will Pay $3 Million Penalty, Make Full Restitution To Consumers, And Liquidate The Company - Lawsky V. Condor Is First Lawsuit Brought By State Regulator Under Dodd-Frank Act To Enforce Federal Consumer Protection Laws

Date 20/12/2014

Benjamin M. Lawsky, Superintendent of Financial Services, today submitted for the Court’s approval a Final Consent Judgment to settle the Department’s lawsuit against Condor Capital Corporation (Lawsky v. Condor), a subprime auto lender based in Long Island, and its sole shareholder, Stephen Baron. Among other violations, the defendants deceptively retained millions of dollars owed to vulnerable borrowers and overcharged them for interest in violation of the Truth in Lending Act. Under the terms of the Final Consent Judgment, Condor and Mr. Baron will make full restitution plus nine percent interest to all aggrieved customers nationwide (an estimated $8-9 million), pay a $3 million penalty, and admit violations of New York and federal law. Following a sale of its remaining loans in a manner that ensures appropriate consumer protections, Condor will surrender its licenses in all states.
CBOE Holdings Announces Date Of Fourth-Quarter 2014 Earnings Release And Conference Call

Date 20/12/2014

CBOE Holdings, Inc. (NASDAQ: CBOE) will announce financial results for the fourth quarter of 2014 before the market opens on Friday, February 6, 2015. A conference call with remarks by CBOE Holdings, Inc. senior management will begin at 7:30 a.m. Central Time (CT).
Autorité Des Marchés Financiers Adjusts Its Annual And Other Fees

Date 19/12/2014

As of January 1, 2015, the annual and other fees payable under the laws administered by theAutorité des marchés financiers (the "AMF") will be adjusted.
Canadian Securities Regulators Articulate Concerns On Routing Retail Equity Orders To U.S. Dealers

Date 19/12/2014

Members of the Canadian Securities Administrators (CSA) today set out their concerns with respect to the practice of routing retail equity orders to U.S. dealers.