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Keynote Address At Risk Australia Conference - Keynote Address By John Price, Commissioner, Australian Securities And Investments Commission At The Risk Australia Conference, (Sydney, Australia) 15 August 2019

Date 15/08/2019

Introduction

Good morning everyone. Thank you for the opportunity to speak to you today about emerging threats and harms.

Today, I will be touching on three things:

• How we identify Threats and Harms at ASIC
• Emerging threats and harms we have identified, and
• How we are addressing these Threats and Harms through our strategic priorities.

SEC Wins Jury Trial Against Broker Charged With Insider Trading

Date 14/08/2019

Today, jurors in Atlanta federal court returned a verdict finding New Jersey securities broker Raymond J. Pirrello, Jr. liable for insider trading in advance of three merger and acquisition transactions.

CFTC Swaps Report Update

Date 14/08/2019

CFTC's Weekly Swaps Report has been updated, and is now available.

SEC Charges Broker-Dealer With Violations Of Gatekeeping Provisions Aimed At Protecting Investors

Date 14/08/2019

The Securities and Exchange Commission today charged Canaccord Genuity LLC, a broker-dealer headquartered in New York City, with enabling trading in dozens of thinly-traded securities without conducting the review required by the federal securities laws.

Intercontinental Exchange And Magellan Midstream Partners Announce Launch Of Dock Capacity Auction At Multiple Marine Facilities In Houston For The ICE Permian WTI Futures Contract

Date 14/08/2019

Intercontinental Exchange, Inc. (NYSE: ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, and Magellan Midstream Partners, L.P. (NYSE: MMP) announced the addition of dock capacity auctions for ICE Permian WTI crude oil futures contracts (HOU) at Magellan’s terminals in Galena Park and Seabrook.

SEC: Opening Remarks At The 38th Government-Business Forum On Small Business Capital Formation, Martha Miller, Advocate For Small Business Capital Formation, Aug. 14, 2019

Date 14/08/2019

Good morning and welcome everyone. On behalf of the U.S. Securities and Exchange Commission, I am pleased to see each of you here today for the 38th annual Government-Business Forum on Small Business Capital Formation. We are particularly grateful to the Heider College of Business at Creighton University for hosting us and helping make this event a success. I am thrilled to see in the room today a mix of familiar and new faces joining us here in Omaha to shape the future of small business capital formation. The Forum is a unique event where members of the private and public sectors converge to identify and highlight issues they experience in accessing capital and investing in small businesses and then formulate solutions on which we can take action.

EBA Publishes Clarifications To The Fifth Set Of Issues Raised By Its Working Group On APIs Under PSD2

Date 14/08/2019

The European Banking Authority (EBA) published today clarifications to a fifth set of issues that had been raised by participants of its Working Group (WG) on APIs under PSD2. The clarifications respond to issues raised on the measurement of response times of the dedicated interface, the machine-readability of the EBA register, reliance on eIDAS certificates and various issues related to the contingency measures, including the identification of third party providers through ‘guest books', the data that can be accessed and documentation.

Tehran Stock Exchange Weekly Market Review - 10 August 2019 To 14 August 2019

Date 14/08/2019

Click here to download Tehran Stock Exchange's weekly market review.

ESMA Closed For Public Holiday On Thursday 15 August

Date 14/08/2019

ESMA Is Closed For Public Holiday On Thursday 15 August

Abacus Group Named To Inc. Magazine’s Annual List Of America’s Fastest-Growing Private Companies - The 2019 Inc. 5000

Date 14/08/2019

Inc. magazine today revealed that Abacus Group, a leading provider of hosted IT solutions and services for alternative investment firms, has been named to the 2019 Inc. 5000 list, the most prestigious ranking of the nation’s fastest-growing private companies.