News Centre

Nasdaq Announces End-Of-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date February 28, 2019

Date 11/03/2019

At the end of the settlement date of February 28, 2019, short interest in 2,355 Nasdaq Global Market^SM securities totaled 7,689,702,073 shares compared with 7,638,386,123 shares in 2,360 Global Market issues reported for the prior settlement date of February 15, 2019. The end-of-December short interest represents 4.12 days average daily Nasdaq Global Market share volume for the reporting period, compared with 3.75 days for the prior reporting period.

British Columbia Securities Commission Imposes Penalties And Market Bans For Market Manipulation

Date 11/03/2019

A British Columbia Securities Commission (BCSC) panel has imposed penalties and market bans on three people and a Swiss wealth management firm after finding they were involved in market manipulation.

SEC Share Class Initiative Returning More Than $125 Million To Investors - Reflecting SEC’s Commitment To Retail Investors, 79 Investment Advisers Who Self-Reported Advisers Act Violations Agree To Compensate Investors Promptly, Ensure Adequate Fee Disclosures

Date 11/03/2019

The Securities and Exchange Commission today announced settled charges against 79 investment advisers who will return more than $125 million to clients, with a substantial majority of the funds going to retail investors.  The actions stem from the SEC’s Share Class Selection Disclosure Initiative, which the SEC’s Division of Enforcement announced in February 2018 in an effort to identify and promptly correct ongoing harm in the sale of mutual fund shares by investment advisers.  The initiative incentivized investment advisers to self-report violations of the Advisers Act resulting from undisclosed conflicts of interest, promptly compensate investors, and review and correct fee disclosures.  The orders issued today address advisers who directly or indirectly received 12b-1 fees for investments selected for their clients without adequate disclosure, including disclosures that were inconsistent with the advisers’ actual practices.

First Minority-Owned Bank In The Northeast Joins American Financial Exchange (AFX) Amidst Exchange’s Record Volume And Membership Growth

Date 11/03/2019

American Financial Exchange (AFX), an electronic exchange for direct lending and borrowing for American financial institutions, announced today that Abacus Federal Savings Bank joined the Exchange, the first minority-owned and Asian-American depository institution in the Northeast to do so. The story of Abacus was the subject of a 2016 Academy-award nominated documentary.

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

Date 11/03/2019

The European Banking Authority (EBA) published today clarifications to the first set of issues that had been raised and discussed by participants of its Working Group (WG) on APIs under PSD2, which met for the first time on 21 February 2019. The issues relate the practical aspects regarding the reliability of testing platforms, the alignment of functionalities between API schemes, and the identification for testing purposes of entities that have not been authorised yet.

UAE’s Securities And Commodities Authority Cooperates With Ajman Chamber To Enhance Joint Regulatory And Supervisory Standards

Date 11/03/2019

• “The agreement aims at supporting areas of domestic development and will have positive effects on the national economy,” Dr. Obaid Al Zaabi.
• “The agreement supports our strategy to continue to bolster Ajman’s status as a global hub for trade,” Salem Al Suwaidi.

Amman Stock Exchange’s 20th Anniversary

Date 11/03/2019

The Amman Stock Exchange was established on March 11, 1999, and today the Amman Stock Exchange celebrates 20 years of continuous success.

DIFC Drives Innovation Through Landmark Agreements At Global Financial Forum 2019

Date 11/03/2019

• DIFC Governor announces size of wealth and asset management sector at DIFC stands at USD 424 billion
• 25th GFCI Report launched – DIFC rises from 15 to 12, highest ranking to date
• MEVP and Wamda Capital appointed to manage part of USD 100 million FinTech fund
• New agreements also announced with global FinTech hubs in Saudi, Italy and Turkey – bringing FinTech Hive’s global network up to 14
• More than 700 leading figures from across financial services sector attend second edition of GFF

The EBA Observes A Slight Increase Of High Earners In EU Banks For 2017

Date 11/03/2019

The European Banking Authority (EBA) published today its report on high earners for 2017. The data shows that the number of high earners in EU banks receiving a remuneration of more than EUR 1 million slightly increased from 4 597 in 2016 to 4 859 in 2017. The average ratio between the variable and fixed remuneration for high earners continued to fall from 104% in 2016 to 101.08% in 2017. The report is part of the EBA's monitoring activities and is published on an annual basis. For the first time, the remuneration data included in the report is also available in a user-friendly format on the remuneration page of the risk analysis section of the EBA website.

Moscow Exchange: Risk Parameters Change On Securities Market For RUSI Shares

Date 11/03/2019

CCP NCC is changing PcH_max parameter value that defines price up limit for RUSI shares on Securities market starting from March 12, 2019: