News Centre

Securities Regulators Urge Canadians To Watch For Red Flags Of Financial Abuse Of Older Canadians

Date 15/06/2018

Securities regulators across the country are urging Canadians to be aware of and report financial abuse of seniors as part of World Elder Abuse Awareness Day (WEAAD), on June 15.

Has The Industry Improved Ten Years On? - Speech By Mark Steward, Director Of Enforcement And Market Oversight At The FCA, Delivered At The Banking Litigation & Regulation Forum 2018

Date 15/06/2018

Highlights:

• Good enforcement requires robust, accurate and faithful processes for detecting misconduct in all its guises and acting quickly and effectively.
• Outcomes to our investigations may involve the use of enforcement, supervision, or competition powers, or a combination of some or all.
• We are seeking views on a number of questions about our approaches to Supervision and Enforcement. Please send us your comments by on 21 June 2018.

Maurya C. Keating Named An Associate Regional Director For Examinations In SEC's New York Regional Office

Date 15/06/2018

The Securities and Exchange Commission today announced that Maurya C. Keating has been named an Associate Regional Director for the Investment Adviser and Investment Company examination program in the agency's New York Regional Office. She will join the agency later this month.

TradingScreen's Management Refute Philippe Buhannic's Allegations

Date 15/06/2018

TradingScreen's management have stated that the latest communication from Philippe Buhannic is, yet again, totally baseless, reckless, and without merit. It is pure fabrication. 

CONSOB: Call For Expressions Of Interest - Selection Of Members Of The Committee Of Market Operators And Investors

Date 15/06/2018

With Resolution no. 20477 of June 12, 2018, CONSOB established the Committee of Market Operators and Investors at CONSOB (hereinafter the ‘Committee’) and adopted the related Founding Charter.

UBS MTF Market Notice: Periodic Auction Go-Live And Other Technical Changes

Date 15/06/2018

Following the publication on May 2, 2018 of the UBS MTF Market Notice N9 announcing changes to the Rules of Engagement for the new Periodic Auction and enhancements to the Dark order book, and Notice 10 on May 17 communicating the corresponding changes to the UBS MTF Rule Book and User Guide, we would like to inform our Members that all these changes will be live on Monday, June 18:

• Periodic Auction order book.
• "No CCP" functionality for internalised trades. To use this functionality please contact the MTF Supervisors.
• Orders in the dark order book will be limited to mid-point pegged only.
• New MAQ behaviour when a partially filled order falls below the MinQty set by the member.

Gain Access To SwissAtMid - Find Out Which Trading Participants Of The Swiss Exchange Provide Access To Largest Non-Displayed Pool For Swiss Equities

Date 15/06/2018

Since its launch in October 2016, SwissAtMid (SIX Swiss Exchange At Midpoint), the non-displayed liquidity pool of the Swiss exchange, has gone from strength to strength. The 45% increase in average daily turnover from January to May 2018, whilst delivering more than CHF 1.6m in price improvement to trading participants through the first 5 months of the year, has helped to define the success of SwissAtMid thus far in 2018.

ICBC London Lists $1.58bn Equivalent Green Bond On London Stock Exchange Green Bond Segment

Date 15/06/2018

• Largest ever green bond listing on London Stock Exchange  
• First Chinese issuer on International Securities Market
• Triple-tranche floating rate notes raise US$1.58 billion equivalent from international investors
• Confirms London’s status as leading international green and sustainable financing centre
• Enhances LSEG’s position as a strong partner for international Chinese fundraising

CFTC Commissioner Quintenz To Address The Institute Of International Bankers Membership Luncheon

Date 15/06/2018

New Board Member Of Nordic Growth Market

Date 15/06/2018

At the annual general meeting of Nordic Growth Market NGM AB (NGM), held on June 13, 2018, Patrick Otterström was elected as a member of the board of directors in Nordic Growth Market.