News Centre

Tokyo Commodity Exchange: The Circuit Breaker Problem On September 26, 2011

Date 28/09/2011

Sincere apologies for any inconvenience caused to market participants and others who may have been affected by the problem related to the circuit breaker for platinum occurred at 10:18 AM on Monday, September 26, 2011. We are now investigating the cause and will issue a separate report on findings once results are obtained.

UK's Financial Services Authority Publishes Six-Monthly Firm Specific And Aggregate Complaints Data For H1 2011

Date 28/09/2011

The Financial Services Authority (FSA) has today published aggregate complaints data as well as firm specific complaints data for H1 2011.

NZX Appointment Of Head Of Business Strategy And Sales

Date 28/09/2011

NZX is pleased to announce the appointment of Sam Stanley, who will join the management team as Head of Business Strategy and sales.

Singapore’s Approach To The Regulation Of Capital Markets - Ravi Menon, Managing Director, Monetary Authority Of Singapore, Keynote Address At Thomson Reuters 2nd Pan-Asian Regulatory Summit, Shangri-La Hotel, Singapore, 28 September 2011

Date 28/09/2011

What do capital markets do?

Distinguished guests, ladies and gentlemen, good morning. And to all our guests from abroad, welcome to Singapore.

SGX Welcomes GH Financials To Derivatives Market

Date 28/09/2011

Singapore Exchange (SGX) said G.H. Financials Limited is joining its derivatives market as a Trading Member.

Osaka Securities Exchange Denies Talks About Integration With Tokyo Stock Exchange Group

Date 28/09/2011

Today, there were news reports by some media institutions on the contents of talks etc. about the management integration between Osaka Securities Exchange Co., Ltd. and Tokyo Stock Exchange Group, Inc.

SEC: Kara Novaco Brockmeyer Named Chief Of FCPA Unit

Date 27/09/2011

The Securities and Exchange Commission’s Division of Enforcement announced today that Kara Novaco Brockmeyer has been named Chief of its national specialized Foreign Corrupt Practices Act Unit that focuses on violations of the anti-bribery provisions of the federal securities laws.

SEC Charges RBC Capital Markets In Sale Of Unsuitable CDO Investments To Wisconsin School Districts - Firm Agrees To Pay $30.4 Million To Settle Charges

Date 27/09/2011

The Securities and Exchange Commission today charged RBC Capital Markets LLC for misconduct in the sale of unsuitable investments to five Wisconsin school districts and its inadequate disclosures regarding the risks associated with those investments.

SEC To Publish For Public Comment Updated Market-Wide Circuit Breaker Proposals To Address Extraordinary Market Volatility

Date 27/09/2011

The Securities and Exchange Commission today announced that the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) are filing proposals to revise existing market-wide circuit breakers that are designed to address extraordinary volatility across the securities markets. When triggered, these circuit breakers halt trading in all exchange-listed securities throughout the U.S. markets.

ESMA Publishes The Responses Received To The Consultation On ESMA's Draft Technical Advice To The European Commission On Possible Implementing Measures Of The Alternative Investment Fund Managers Directive In Relation To Supervision And Third Countries

Date 27/09/2011

Click here to view the responses received to the Consultation on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive in relation to supervision and third countries.