News Centre

New Zealand Financial Markets Authority: Steven Robertson Convicted On 38 charges Relating To PTT Limited And Associated Entities

Date 19/08/2019

The Financial Markets Authority (FMA) has today welcomed the Auckland High Court convicting Steven Robertson of 38 charges relating to PTT Limited and associated entities.

ASIC Enforcement Update January To June 2019

Date 18/08/2019

ASIC has today released its enforcement update report for the period 1 January 2019 to 30 June 2019.

A copy of the report - outlining key actions taken over the past six months to enforce the law and support our enforcement objectives - can be found here.

CFTC Commitments Of Traders Reports Update

Date 16/08/2019

The current reports for the week of August 13, 2019 are now available.

New York State Department Of Financial Services Superintendent Linda A. Lacewell Announces DFS Grants Charter To Bakkt

Date 16/08/2019

Superintendent of Financial Services Linda A. Lacewell announced today that the New York State Department of Financial Services (DFS) has granted a charter under New York Banking Law to Bakkt Trust Company LLC to operate as a limited liability trust company. This is the first virtual currency trust company application approved under Superintendent Lacewell.

Cantor Fitzgerald And BMO Capital Charged For Improper Handling Of ADRs

Date 16/08/2019

The Securities and Exchange Commission today announced that broker Cantor Fitzgerald & Co. will pay more than $647,000 and broker BMO Capital Markets Corporation will pay over $3.9 million to settle charges of improper handling of "pre-released" American Depositary Receipts (ADRs). With today's actions, the SEC has charged 13 financial institutions in its ongoing investigation into abusive ADR pre-release practices, which, thus far, has included monetary settlements exceeding $427 million.

Nigerian Stock Exchange Weekly Market Report For August 16th 2019

Date 16/08/2019

It was a brief trading week as the market opened for three days in observance of the public holidays (Monday 12th and Tuesday 13th August 2019) declared by the Federal Government of Nigeria to mark the Eid-El-Kabir celebrations.  

MIAX Options Exchange - Activation Of Enhanced MIAX Order Monitor (MOM) - Effective August 19, 2019

Date 16/08/2019

The MIAX Options Exchange will activate enhanced MIAX Order Monitor (MOM) effective Monday, August 19, 2019.

Remarks Before The 38th Government-Business Forum On Small Business Capital Formation, SEC Commissioner Hester M. Peirce, Aug. 15, 2019, Creighton University, Heider College Of Business, Omaha, Nebraska

Date 16/08/2019

Thank you, Martha [Miller]. It is wonderful to be here in Omaha. Thank you to all the participants in today’s program. Dean [Anthony] Hendrickson, thank you for welcoming us to Creighton University’s Heider College of Business. It is a beautiful facility that reflects the thriving economic region in which it sits.

ETFGI Reports Assets Invested In The US ETFs And ETPs Industry Broke Through The US$4 Trillion Milestone At The End Of July 2019

Date 16/08/2019

ETFGI, a leading independent research and consultancy firm covering trends in the global ETF/ETP ecosystem, reported today that assets invested in the US ETFs and ETPs industry broke through the US$4 trillion milestone at the end of July.   ETFs and ETPs listed in US gathered net inflows of US$33.90 billion in July, bringing year-to-date net inflows to US$149.76 billion. Assets invested in the US ETF/ETP industry have increased by 1.6%, from US$3.96 trillion at the end of June, to a new record of US$4.02 trillion, according to ETFGI's July 2019 US ETF and ETP industry landscape insights report, an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)

Nadex Adjusts Strike Width For US Indices Binary Contracts

Date 16/08/2019

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act and Commission Regulation §40.6(d)(2)(iv), Nadex is providing notice that due to increased volatility in the underlying markets upon which the Nadex US Indices contracts are based, Nadex adjusted the strike width for its Daily US Tech 100 Binary contracts from 6 to 12, its Daily Wall Street 30 Binary contracts from 20 to 40, its Daily US 500 Binary contracts from 3 to 6, and its Daily US SmallCap 2000 from 2 to 4. The changes began on August 12, 2019 and continued through August 16, 2019.