News Centre

Dubai Financial Services Authority Takes Action Against Morgan Gatsby Limited For Multiple Serious Breaches

Date 08/01/2020

The Dubai Financial Services Authority (DFSA) today announced that it has fined Morgan Gatsby Limited (MGL), approximately USD 246,000 (approx. AED 900,000), for multiple serious breaches of DFSA legislation.  The DFSA had previously suspended MGL’s licence on 8 November 2018 due to concerns regarding MGL’s non-compliance with DFSA legislation.

Moscow Exchange: Risk Parameters Change For The Security RU000A0JWTN2

Date 08/01/2020

As per the Securities market risk parameters methodology, on 08.01.2020, 11-55 (MSK) the upper bound of the price band (up to 107.7) and initial margins (up to 8.75 %) for the security RU000A0JWTN2 were changed. New values are available here

Shanghai Stock Exchange: New Market Surveillance System Put Into Use

Date 08/01/2020

Recently, the new market surveillance system of the Shanghai Stock Exchange (SSE) has been officially put into use. It is a major measure by the SSE to implement the plan of the China Securities Regulatory Commission on strengthening the capital market’s reform in an overall manner, propel the in-depth integration of technology and business, and accelerate the improvement of the capability of technological supervision.

Forge Ahead And Consolidate The Foundation Live The Day To The Full And Keep Reforming And Innovating - Shenzhen Stock Exchange. Holds The 2019 Bond Market Regulation Symposium

Date 08/01/2020

On January 7, SZSE held the 2019 Bond Market Regulation Symposium. At the Symposium, SZSE focused on the full implementation of the guiding principles of the Central Economic Work Conference and reviewed the development of bond market in 2019. It also studied and made arrangements for the priorities of the bond market in 2020 to better serve the real economy and the building of the Guangdong-Hong Kong-Macao Greater Bay Area and the Pilot Demonstration Area of Socialism with Chinese Characteristics. The Symposium was attended by representatives from institutions including the Ministry of Finance, departments or bureaus of finance at the provincial level and of the autonomous regions or at the municipal level, the CSRC and its local offices, fixed income product issuers, banks, securities institutions, insurance companies and fund companies.

SGX Welcomes Yongan International Financial As Derivatives Trading Member

Date 08/01/2020

Singapore Exchange (SGX) welcomes Yongan International Financial (Singapore) Pte. Ltd. as a Derivatives Trading Member. 

Statement On Senate Confirmation Of Jovita Carranza As Administrator Of The Small Business Administration, SEC Chairman Jay Clayton, Jan. 7, 2020

Date 07/01/2020

As Treasurer of the United States, Jovita Carranza has been a valued partner for the Commission, joining with us in initiatives and events directed toward increasing investor literacy and expanding opportunities in the financial services industry for historically underrepresented communities. My colleagues and I look forward to continuing our collaboration with now confirmed Administrator Carranza and the team at the Small Business Administration, particularly through our Office of the Advocate for Small Business Capital Formation. Congratulations to Jovita on her Senate confirmation.

SIFMA CEO: Massachusetts Fiduciary Proposal Would Harm Everyday Investors

Date 07/01/2020

In testimony delivered today, SIFMA expressed strong concern over a Massachusetts proposal to create a state-specific fiduciary standard for broker-dealers and their representatives, and urged the Commonwealth to defer to Regulation Best Interest (Reg BI) – a new nationwide best interest standard which was approved by the SEC in June 2019 and is fully operational in June 2020.

FIA: December 2019 SEF Tracker

Date 07/01/2020

SEC Office Of Compliance Inspections And Examinations Announces 2020 Examination Priorities

Date 07/01/2020

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities. OCIE publishes its examination priorities annually to enhance the transparency of its examination program and to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets.

B3 Announces New Portfolio For Ibovespa And Other Indices

Date 07/01/2020

B3 hereby announces the new Bovespa Index (Ibovespa) portfolio, which will be effective from January 6, 2020 to April 30, 2020, based on the closing of the January 3, 2020 trading session. The new Ibovespa portfolio registers the addition of Carrefour ON (CRFB3), Hapvida ON (HAPV3), SulAmérica UNT (SULA11), Cia Hering ON (HGTX3) and Totvs (TOTS3), totaling 73 stocks in 70 companies.