News Centre

SEC Charges Private Lender And CEO With Fraudulent Mismarking Scheme

Date 29/08/2019

The Securities and Exchange Commission today charged Live Well Financial, Inc. and its CEO, Michael Hild, both of Richmond, Va., with perpetuating a multi-million dollar bond mismarking scheme against Live Well's short-term lenders. The complaint also charges Live Well's CFO, Eric Rohr, and Executive Vice President, Darren Stumberger, both of whom consented to partial judgments against them.

Inter-Product Spreads Enhance Eurex’s Fixed Income Suite

Date 29/08/2019

As of 16 September, Eurex will offer Inter-Product Spread Strategies (IPS) for fixed income futures. With recent severe changes of the European yield curves inter-product spreads are sought-after hedging and trading instruments.

SEC Awards More Than $1.8 Million To Whistleblower

Date 29/08/2019

The Securities and Exchange Commission today announced an award of more than $1.8 million to a whistleblower whose information and assistance were critically important to the success of an enforcement action involving misconduct committed overseas.  

Finansinspektionen: Comments To Questions About Conflict Of Interest In The Supervision Of Swedbank

Date 29/08/2019

Due to the announcement that Folksam’s CEO Jens Henriksson has been named President and CEO of Swedbank, FI has received questions about whether this gives rise to a conflict of interest since FI’s Director General Erik Thedéen was previously Managing Director of KPA, which Folksam owns together with SKL.

SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players

Date 29/08/2019

The Securities and Exchange Commission today charged a Tallahassee-based investment adviser firm and its two former principals with defrauding investors, most of whom were retired NFL players who had joined a class-action lawsuit against the league claiming they suffered brain injuries as a result of concussions.

TMX Group CEO Lou Eccleston To Present At The 2019 Scotiabank Financials Summit

Date 29/08/2019

TMX Group CEO Lou Eccleston will present at the 20th annual Scotiabank Financials Summit at the Fairmont Royal York Hotel in Toronto.

SEC Charges Dallas Company And Its Founders With Defrauding Investors In Unregistered Offering And Operating Unregistered Digital Asset Exchange

Date 29/08/2019

The Securities and Exchange Commission today announced settled charges with Bitqyck Inc. and its founders, who allegedly defrauded investors in securities offerings of two digital assets, Bitqy and BitqyM, and operated an unregistered exchange to permit trading in one of them, a digital token called Bitqy.  

Eris Front Month OI Hits 120,000 Contracts On August 22nd, Up 64% Since June Roll

Date 29/08/2019

• Open interest (OI) in the live-streaming front Eris contracts continued to surge in Q3, rising 64% from May 31st to August 22nd, when it hit 122,232 contracts. Front month OI stands at 111,317 as of August 28th

• Front contract OI is now 7 times the average front OI observed in Q3'18 (YoY)

• Recent growth is driven by broad-based duration demand across fixed income markets, particularly focused in the Eris 10y (LIYU19)

SEC Investor Advisory Committee To Meet On Sept. 19

Date 29/08/2019

The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19.The meeting will begin at 9:30 a.m. in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C. and is open to the public. The meeting will be webcast live and archived on the committee’s website for later viewing.  

Tadawul Announces Completion Of Inclusion In The MSCI Emerging Markets Index

Date 29/08/2019

The Saudi Stock Exchange (Tadawul) announces successfully completing its full inclusion into the MSCI Emerging Markets Index, which brings the Kingdom’s weighting to 2.8 % of the index’s total market capitalization, with 31 Saudi listed companies included the Index.