News Centre

Bank Whistleblower’s Attorney To Testify Before European Parliament - Qui Tam Attorney Stephen Kohn Asked To Offer Expert Testimony On “Best Practice” For European Whistleblower Law

Date 21/11/2018

The attorney for Danske Bank money-laundering whistleblower Howard Wilkinson has been invited to testify before the European Parliament’s Special Committee on Financial crimes, Tax Evasion and Tax Avoidance in Brussels, Belgium as an expert witness on whistleblower rights. 

Moscow Exchange Registers Half A Million Individual Investment Accounts

Date 21/11/2018

The number of Individual Investment Accounts (IIA) opened with Moscow Exchange reached 502,000 on 20 November 2018, up from 302,000 at year-end 2017, 195,200 at year-end 2016 and 88,900 at year-end 2015). 

Statement On Jury Trial Of Ex-CFO Of AVEO Pharmaceuticals - Stephanie Avakian, Co-Director, SEC Division Of Enforcement - Steven Peikin, Co-Director, SEC Division Of Enforcement

Date 20/11/2018

"Today, a federal court jury found that AVEO’s former CFO David Johnston misled investors about the prospects for FDA approval of AVEO’s flagship developmental drug, Tivozanib. The jury’s verdict makes clear that a company and its officers are required to be honest in their public communications, including about matters as critical as communications with regulators about approval of a key product."

ISDA - Hard Brexit: An Impact Assessment For US Entities Registered With The CFTC

Date 20/11/2018

This paper highlights the issues that must be addressed in the case of a ‘hard’ Brexit. Specifically, it:

• Identifies exiting US Commodity Futures Trading Commission (CFTC) equivalence determinations and no-action relief that is currently provided to the European Union (EU) and should be extended to entities registered with the CFTC in order to preserve continuity and market stability once the UK exits the EU.
• Analyzes the impact of a hard Brexit on US market participants, and where appropriate, proposes regulatory and contractual solutions to minimize any negative impacts a hard Brexit would have on US market participants.

CFTC’s Market Risk Advisory Committee To Meet December 4 To Discuss Clearinghouse And Vendor Risk Management

Date 20/11/2018

The Commodity Futures Trading Commission’s (CFTC or Commission) Market Risk Advisory Committee (MRAC) will hold a public meeting on December 4, 2018 at CFTC's Washington, DC headquarters. CFTC Commissioner Rostin Behnam is the sponsor of MRAC.

Alberta Securities Commission Announces The Addition Of A Whistleblower Program To Its Expanding Enforcement Toolbox - The Office Of The Whistleblower Allows Whistleblowers To Safely Report Securities-Related Misconduct

Date 20/11/2018

The Alberta Securities Commission (ASC) today announced the creation of its whistleblower program and the Office of the Whistleblower (OWB) through the adoption of ASC Policy 15-602 Whistleblower Program and accompanying amendments to the Securities Act (Alberta) (contained within Bill 20).

Nadex Product Schedule For The Week Of November 19, 2018 For The 2018 Thanksgiving Holiday

Date 20/11/2018

Nadex will observe the following modified holiday schedule for the week of November 19, 2018:

Monday, November 19, 2018:  The Exchange will observe regular business hours. 

• Weekly contracts listed on this date will have a settlement date of Friday of the current week, with the exception of any contracts not available for trading on Friday, which will have a settlement date of Wednesday of the current week. 
• Initial Jobless Claims Binary contracts will be listed on Monday, November 19, 2018, and will settle on the day that number is released by the Source Agency.

Wednesday, November 21, 2018:  The Exchange will observe regular business hours. 

• Weekly Japan 225 and China 50 contracts will expire on this day;
• No Daily Currency Binary contracts which would have an expiration trade date of November 22, 2018 will be listed on this date.

ETFGI Reports ETFs And ETPs Listed In The US Gather Net Inflows Of US$6.40 Bn During October 2018

Date 20/11/2018

ETFGI, a leading independent research and consultancy firm covering trends in the global ETF/ETP ecosystem, reported today that ETFs and ETPs listed in the US gathered net inflows of US$6.40 Bn during October. Following a turbulent month for financial markets, total assets invested in the US ETF and ETP industry fell 6.24% during October, from US$3.73 Tn at the end of September, to US$3.50 Tn, according to ETFGI’s October 2018 US ETF and ETP industry landscape insights report, an annual paid-for research subscription service.  (All dollar values in USD unless otherwise noted.) 

ADX Celebrates Its 18th Anniversary And Highlights Its Most Notable Achievements To Date

Date 20/11/2018

Abu Dhabi Securities Exchange (ADX), the region's leading financial market, celebrated its 18th anniversary today and highlighted the market’s most notable and pioneering achievements on local, regional and international level since its inception which contributed to supporting the national economy and in attracting investments to the UAE.

Qatar Stock Exchange Holds 9th Annual IR Conference In Doha

Date 20/11/2018

Qatar Stock Exchange (QSE) today held the 9th Annual Investor Relations Conference. The conference was held at the Rotana City Center in Doha with the participation of a wide range of representatives from leading listed companies, market participants, regulatory bodies and investors.