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News Centre
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SEC Charges One Oak Capital Management And Michael DeRosa With Breaching Fiduciary Duties To Clients
Date 14/02/2025
The Securities and Exchange Commission today filed settled charges against New York-based registered investment adviser One Oak Capital Management LLC, and former One Oak investment adviser representative, Michael DeRosa, for misconduct related to advisory services provided to their retail clients.
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Acting CFTC Chairman Pham Announces Brian Young As Director Of Enforcement
Date 14/02/2025
Commodity Futures Trading Commission Acting Chairman Caroline D. Pham today announced Brian Young will serve as the agency’s Director of Enforcement. Young has been serving in an acting capacity since January 22, and previously was the Director of the Whistleblower Office. He is a distinguished federal prosecutor with nearly 20 years of service at the Department of Justice, including Acting Director of Litigation for the Antitrust Division and Chief of the Litigation Unit for the Fraud Section of the Criminal Division, and has successfully tried some of the most high-profile criminal fraud and manipulation cases in the CFTC’s markets.
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SEC Seeks Candidates For Membership On The Investor Advisory Committee
Date 14/02/2025
The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, which was established by the Dodd-Frank Wall Street Reform and Consumer Protection Act to help protect investors and improve securities regulation. Candidates will be considered for open at-large membership positions on the committee, as well as for a position as the member who is representative of the interests of senior citizens, as provided in the Act.
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Nigerian Exchange Weekly Market Report For The Week Ended 14 February 2025
Date 14/02/2025
A total turnover of 2.414 billion shares worth N55.512 billion in 80,988 deals was traded this week by investors on the floor of the Exchange, in contrast to a total of 3.051 billion shares valued at N98.350 billion that exchanged hands last week in 72,535 deals.
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SEC Announces 44th Annual Small Business Forum To Impact Capital-Raising Policy
Date 14/02/2025
The Securities and Exchange Commission will host the SEC’s 44th Annual Government-Business Forum on Small Business Capital Formation at SEC Headquarters in Washington, D.C. on April 10 from 1 – 4:30 p.m. ET.
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Deutsche Börse Group: Business Indicators For January 2025
Date 14/02/2025
A summary of Deutsche Börse Group's business indicators for January 2025 is now available on the Deutsche Börse website:
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ESMA Launches A Common Supervisory Action With NCAs On Compliance And Internal Audit Functions
Date 14/02/2025
The European Securities and Markets Authority (ESMA), the EU’s securities and markets regulator launches today a Common Supervisory Action (CSA) with National Competent Authorities (NCAs) on compliance and internal audit functions of UCITS management companies and Alternative Investment Fund Managers (AIFMs) across the EU.
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DNA From Fiserv Selected By Third Federal As Part Of Its Digital Transformation - Fiserv Core Solution Recognized With Advanced Technology Award, Designated Luminary By Celent For Best-In-Class Technology And Technical Capability
Date 14/02/2025
Fiserv, Inc. (NYSE: FI), a leading global provider of payments and financial services technology, today announced it will deliver digital innovation through the award-winning DNA® platform to Third Federal Savings & Loan. The platform will better equip Third Federal to serve account holders through future-ready technologies and real-time transactions via all channels, propelling customization and growth.
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Moscow Exchange: Updated Constituents List For OFZ Zero Coupon Yield Curve To Come Into Force On 17 February 2025
Date 14/02/2025
On 17 February 2025, the following updated constituents list for OFZ Zero Coupon Yield Curve will come into force.
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Malawi Stock Exchange Weekly Summary Report, 14 February 2025
Date 14/02/2025
Click here to download Malawi Stock Exchange's weekly summary report.
