News Centre

Shenzhen Stock Exchange 2019 Members' General Meeting Resolutions

Date 07/05/2019

From April 22 to 26, 2019, Shenzhen Stock Exchange (SZSE) held its 2019 members' general meeting in an online approach. The meeting was convened by SZSE's 4th Board of Directors. 116 member units' representatives attended, voted on relevant topics through the internet and offered suggestions to the SZSE market construction.

Tokyo Commodity Exchange: Circuit Breaker Range (SCB Range) For Today (No Special Expansions)

Date 07/05/2019

For today, Tuesday, May 7th, 2019, there will be no special expansions of the Circuit Breaker Range (SCB Range).

Shenzhen Stock Exchange Holds China-Indonesia Capital Market Cooperation Seminar To Forge New Partnership

Date 07/05/2019

The first China- Indonesia Capital Market Cooperation Seminar was co-hosted in Jakarta, Indonesia on April 26, 2019 by SZSE, Indonesia Stock Exchange (“IDX”) and relevant financial institutions. SZSE chairman Wu Lijun, IDX directors Kristian S. Manullang and Fithri Hadi, and about 100 representatives from financial institutions attended the event.

Nasdaq April 2019 Volumes

Date 06/05/2019

Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for April 2019, on its investor relations website. 

Bahamas International Securities Exchange COO Speaks To Central Bank’s Investment Information Session

Date 06/05/2019

On Wednesday 25, April 2019, The Bahamas International Securities Exchange (BISX) Chief Operating Officer Mr. Holland Grant spoke to employees from the Central Bank of the Bahamas at their Investment Information Session. Mr. Grant spoke about the Exchange including its history, the functions of the Exchange, his role and some of the day-to-day operations of BISX.

How We Protect Retail Investors, Peter Driscoll, Director, SEC Office Of Compliance Inspections And Examinations, NRS Spring 2019 Compliance Conference, Orlando, FL, April 29, 2019

Date 06/05/2019

Introduction

As soon as Chairman Jay Clayton was sworn in, he made clear that one of his top priorities was retail investors. He asked a number of questions all aimed at the principle that the SEC’s analysis should start and end with the long-term interests of the Main Street investor. One of those questions was "[a]re investors benefiting from our efforts?"

CFTC Announces Approximately $1.5 Million Whistleblower Award

Date 06/05/2019

The Commodity Futures Trading Commission (CFTC) today announced a whistleblower award of approximately $1.5 million to be paid to an individual whistleblower.  The CFTC granted the whistleblower’s award application for both a CFTC action and a related action brought by another federal regulator.  In ordering the award, the CFTC recognized the contribution of a whistleblower who sought to report his or her concerns internally prior to reporting to the CFTC.

US Department Of Justice: Former Banker Extradited From Malaysia To United States To Face Charges In Multi-Billion Dollar Money Laundering And Bribery Scheme Relating To The 1MDB Fund - Malaysian National To Be Arraigned On FCPA And Money Laundering Conspiracy Charges In Relation To Three Bonds For 1Malaysian Development Berhad

Date 06/05/2019

A Malaysian national, Ng Chong Hwa, 46, also known as “Roger Ng,” has been extradited from Malaysia to the United States to face charges of conspiring to launder billions of dollars embezzled from 1Malaysia Development Berhad (1MDB), Malaysia’s investment development fund, conspiring to violate the Foreign Corrupt Practices Act (FCPA) by paying bribes to multiple government officials in Malaysia and Abu Dhabi, and conspiring to violate the FCPA by circumventing the internal accounting controls of a major New York-headquartered financial institution (Financial Institution).

Consolidated Audit Trail: CAT Trader Alert

Date 06/05/2019

The Participants of the CAT NMS, LLC and FINRA CAT LLC published the final version of the CAT Reporting Technical Specifications for Industry Members on April 29, 2019. CAT Alert 2019-02 provides details on the changes incorporated in the latest version of the document and a schedule of CAT Reporting Timelines.  

Nodal Exchange Achieves New Trading Records In Power Futures With Strongest Month Ever

Date 06/05/2019

Nodal Exchange achieved a new monthly trading record in power futures with a total volume of 189 million MWh in April 2019 (notional value of $6 billion per side).