News Centre

Broadridge’s Global Asset Servicing Solution Now Live On Amazon Web Services - Global Tier-1 Investment Bank Utilizing Cloud-Based Automated Processing Solution To Address End-To-End Asset Servicing Complexities

Date 24/09/2019

Broadridge Financial Solutions, Inc. (NYSE:BR), a global Fintech leader and part of the S&P 500® Index, today announced that its Global Asset Servicing Solution is now available on Amazon Web Services, Inc. (AWS) and that a global tier-1 investment bank is in live operation with the solution and another global tier-1 bank is onboarding. Replacing multiple incumbent systems with a single solution can help these companies to achieve greater levels of efficiency through standardized processes and data globally, while reducing operational risks. They can also respond more effectively to regulatory reporting requirements and client service needs, by adding increased oversight and business control.

Overseas Investor Relations Management Master Class For Shanghai Stock Exchange Listed Companies Held

Date 24/09/2019

On September 19, 2019, the Shanghai Stock Exchange (SSE) holds the “Overseas Investor Relations Management Master Class for SSE Listed Companies”, with an aim to help the listed companies better understand the needs of overseas investors and effectively connect with the overseas investors. Attending the forum are more than 160 people, including secretaries to directorates or heads of investor relations in the listed companies on the SSE Main Board and the SSE STAR Market. The training themes include how to understand investor relations from the perspective of a buyer, how to attract long-term overseas investors, how to build an effective corporate communication strategy and optimizing a balance sheet.

ASX: AGM Address By The Chairman And The Managing Director And CEO

Date 24/09/2019

Good morning ladies and gentlemen. Welcome to the 2019 Annual General Meeting for ASX Limited.

It is 10.00am, we have a quorum present, and I declare the meeting open.

ASIC RegTech Voice Analytics Symposium - Opening Statement By ASIC Chair James Shipton, Melbourrne, 24 September 2019

Date 24/09/2019

Thank you, Perry Wandin for the Welcome to Country.

I would also like to begin by acknowledging the Traditional Custodians of the land on which we meet today and pay my respects to their Elders past and present. I extend that respect to Aboriginal and Torres Strait Islander peoples here today.

Remarks At The U.S. Treasury Market Conference, SEC Commissioner Elad L. Roisman, New York, NY, Sept. 23, 2019

Date 23/09/2019

Good afternoon from Washington, D.C.  I am grateful for the opportunity to speak with you today during this fifth annual Treasury market conference.  I wish I could be there with you in person, but I appreciate the accommodation, and your time, so that I can share a few of my thoughts with you via video. On the bright side, this video may deliver better production value than if I was there live, especially for important aspects like hair and makeup. 

SEC Brings New Charges In Multimillion Dollar Boiler Room Schemes

Date 23/09/2019

The Securities and Exchange Commission today announced new charges arising from a New York-based boiler-room scheme, alleging that Benjamin Conde orchestrated the manipulation of millions of shares of Renewable Energy and Power Inc. (RBNW), generating approximately $3.1 million in illegal proceeds.

SIFMA Statement on H.R. 4344

Date 23/09/2019

SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, expressing opposition to a legislative proposal that would overturn the 2017 Kokesh v. SEC Supreme Court decision related to disgorgement.

Cboe Global Markets Announces Date Of Third-Quarter 2019 Earnings Release And Conference Call

Date 23/09/2019

Cboe Global Markets, Inc. (Cboe: CBOE), one of the world's largest exchange holding companies, today said it will announce its financial results for the third quarter of 2019 before the market opens on Friday, November 1, 2019. A conference call with remarks by the company's senior management will begin at 7:30 a.m. Central Time (CT), 8:30 a.m. Eastern Time (ET).

Former Sydney Futures Exchange CEO Les Hosking Joins FEX Global Executive Team

Date 23/09/2019

The Board of FEX Global is pleased to announce the appointment of Mr. Les Hosking as a senior member of the Executive Team effective today. Mr Hosking has been appointed as Group Executive of Market Infrastructure, and will assist FEX Global in finalising preparation for the launch of the FEX Global Energy, Environmental and Commodities Futures Market, and continue in an ongoing role in the development of FEX.

SEC Charges PwC LLP With Violating Auditor Independence Rules And Engaging In Improper Professional Conduct

Date 23/09/2019

The Securities and Exchange Commission today charged accounting firm PricewaterhouseCoopers LLP with improper professional conduct in connection with 19 engagements on behalf of 15 SEC-registered issuers and violating auditor independence rules in connection with engagements for one issuer where the firm performed prohibited non-audit services. The SEC also charged PwC partner Brandon Sprankle with causing the firm’s independence violations. Both respondents have agreed to settle the charges and PwC will pay over $7.9 million in monetary relief.