News Centre

New Zealand's Financial Markets Authority Appoints Specialist Roles In FinTech And Integrated Financial System

Date 04/11/2020

The Financial Markets Authority (FMA) has announced the appointment of two new specialist roles focused on deepening the regulator’s expertise in two evolving and important sectors: financial technology (FinTech) and environmental, social and corporate governance (ESG) impacts on financial markets.

Shenzhen Stock Exchange Revises And Releases Implementation Rules For QFIIs And RQFIIs To Further Promote High-level Opening-Up Of The Capital Market

Date 04/11/2020

On October 30, with the approval of China Securities Regulatory Commission (“CSRC”), SZSE released the new revised edition of the Implementation Rules on Securities Trading of Qualified Foreign Institutional Investors and RMB Qualified Foreign Institutional Investors on the Shenzhen Stock Exchange (the “Implementation Rules”), effective from November 1, 2020.

NZX Shareholder Metrics - October 2020

Date 04/11/2020

Please see attached NZX Limited shareholder metrics for October 2020.

ISDA - Legal Guidelines For Smart Derivatives Contracts: Credit Derivatives

Date 03/11/2020

ISDA has published the sixth in a series of legal guidelines for smart derivatives contracts, intended to support technology developers, lawyers and other key stakeholders in the development of smart derivatives contracts and other technology solutions in the credit derivatives (CDS) market. 

Nasdaq October 2020 Volumes

Date 03/11/2020

Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for October 2020, on its investor relations website.

CFTC Financial Data For Futures Commission Merchants Update

Date 03/11/2020

Futures commission merchants (FCMs) and retail foreign exchange dealers (RFEDs) must file monthly financial reports with the CFTC's Division of Swap Dealer and Intermediary Oversight (DSIO) within 17 business days after the end of the month. Selected financial information from these reports is published below. The most recent month-end information generally is added within 12 business days after FCMs and RFEDs file their reports, but occasionally may be added later. For example:  The 17th business day filing “due date" for February 28, 2015 financial reports was March 25, 2015.  The 12 business day target for posting these data was April 10, 2015.

SEC Issues Agenda For Nov. 9 Meeting Of The Small Business Capital Formation Advisory Committee

Date 03/11/2020

The Securities and Exchange Commission today released the agenda for the Monday, Nov. 9, 2020, meeting of its Small Business Capital Formation Advisory Committee, which will be hosted via video conference. 

Cboe Global Markets To Present At The Bank Of America Future Of Financials Virtual Conference Tuesday, November 10

Date 03/11/2020

Cboe Global Markets, Inc. (Cboe: CBOE), a market operator and global trading solutions provider, announced today that Ed Tilly, Chairman, President and Chief Executive Officer, and Brian Schell, Executive Vice President, Chief Financial Officer and Treasurer, will present at the Bank of America Future of Financials Virtual Conference on Tuesday, November 10 at 11:20 a.m. ET.

SEC Awards Over $28 Million To Whistleblower

Date 03/11/2020

The Securities and Exchange Commission today announced an award of over $28 million to a whistleblower who provided significant information that aided the SEC in bringing a successful enforcement action.  The whistleblower internally reported information that prompted the company to initiate an internal investigation, and saved the staff time and resources by providing testimony and identifying a key witness.

Moscow Exchange: Risk Parameters Change For The Securities

Date 03/11/2020

The following risk parameters will be changed:

Market Risk Rate of the first, second and third level – S_1(2,3)_min