News Centre

Japan Exchange Group: Status Of Acquisition Of Own Shares

Date 01/07/2021

Japan Exchange Group, Inc. hereby announces the status of matters regarding acquisition of own shares pursuant to the provisions of its Articles of Incorporation and Article 459, Paragraph 1 of the Companies Act, which was resolved at its Board of Directors meeting held on April 28, 2021, as follows.

Regulator’s Column: What SGX RegCo Expects Of Nomination Committees When Directors Join Or Resign

Date 01/07/2021

Directors of the board of a listed issuer, especially that of independent directors, play a crucial role in the proper governance and commercial success of the company.

ASIC Consults On Remaking Class Order Regarding When Debentures Can Be Called Secured Notes

Date 01/07/2021

ASIC has today released a consultation paper proposing to remake its class order relating to how debentures may be described. The class order is due to expire ('sunset') on 1 April 2022.

Montréal Exchange's Markets Closed July 1, 2021

Date 01/07/2021

The Exchange's markets are closed today, July 1, 2021.

FINRA Orders Record Financial Penalties Against Robinhood Financial LLC - Firm Ordered To Pay Approximately $70 Million For Systemic Supervisory Failures And Significant Harm Suffered By Millions Of Customers

Date 30/06/2021

FINRA announced today that it has fined Robinhood Financial LLC $57 million and ordered the firm to pay approximately $12.6 million in restitution, plus interest, to thousands of harmed customers. The sanctions represent the largest financial penalty ever ordered by FINRA and reflect the scope and seriousness of the violations. In determining the appropriate sanctions, FINRA considered the widespread and significant harm suffered by customers, including millions of customers who received false or misleading information from the firm, millions of customers affected by the firm’s systems outages in March 2020, and thousands of customers the firm approved to trade options even when it was not appropriate for the customers to do so.

Cboe Global Markets Completes Acquisition Of Chi-X Asia Pacific

Date 30/06/2021

• Transaction is another step in Cboe's strategy to build one of the world's largest global derivatives and securities trading networks 
• With a presence in Asia Pacific, Cboe expects to expand its global equities and market data businesses, broaden distribution of its proprietary products, as well as bring other new trading solutions and services to the region
• Chi-X Asia Pacific planned to be fully integrated into Cboe's existing global business operations and technology platforms

FINRA Launches Educational Initiative Aimed at Newer Investors FINRA And FINRA Foundation Issue Special Notice Soliciting Comment On Ways To Reach And Educate Novice Investors

Date 30/06/2021

FINRA today announced it has launched a multi-year, multi-faceted $30 million initiative to explore innovative ways to reach and educate investors, especially new, self-directed retail investors who conduct transactions through online accounts or using mobile apps.

MIAX Options Exchange - July 1, 2021 Fee Changes

Date 30/06/2021

Effective July 1, 2021, pending filing with the SEC, the MIAX Options Fee Schedule will be amended.

Board Takes Effect As NZ RegCo Governance

Date 30/06/2021

NZX has today confirmed the permanent board of NZ RegCo, chaired by Trevor Janes, with board members Annabel Cotton, Elaine Campbell, John Hawkins and Mike Heron QC.

SEC Charges San Francisco Bay Area Finance Employee And Friend With Insider Trading

Date 30/06/2021

The Securities and Exchange Commission today announced settled insider trading charges against Bay Area finance employee Mounir N. Gad and his friend Nathan E. Guido.