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  • CFTC Commitments Of Traders Reports Update

    Date 14/09/2018

    The current reports for the week of September 14, 2018 are now available.

  • ETFGI Reports Assets Invested In ETFs and ETPs Listed In The US Reached A New High Of $3.71 Trillion At The End Of August 2018

    Date 14/09/2018

    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 reached a new high of US$3.71 Tn in assets, following net inflows of US$24.71 Bn in August, according to ETFGI’s August 2018 US ETF and ETP industry landscape insights report, an annual paid-for research subscription service.  (All dollar values in USD unless otherwise noted.)

  • SEC: Whistleblower Receives Award Of Approximately $1.5 Million

    Date 14/09/2018

    The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1.5 million.  The whistleblower provided the SEC with vital information and ongoing assistance that proved important to the overall success of an enforcement action.  However, the SEC’s order notes that the award was reduced because the whistleblower did not promptly report the misconduct and benefited financially during the delay.

  • CAT ClientOrderID Requirement For BOX Participants

    Date 14/09/2018

    BOX Exchange LLC (“BOX” or the “Exchange”) expects to commence Phase 1 reporting into the Consolidated Audit Trail on November 15, 2018. Accordingly, it is now mandatory for BOX Participants using both FIX and SAIL to include a ClientOrderID within each Order submitted to the Exchange. 

  • SEC Charges Investment Advisers With Defrauding Retail Advisory Clients

    Date 14/09/2018

    The Securities and Exchange Commission today charged an Indianapolis-based investment advisory firm and its sole owner with selling approximately $13 million of high-risk securities to more than 120 advisory clients – many of whom are current or former teachers or other workers in public education – without disclosing that the firm and its owner stood to receive commissions of up to 18 percent from the sales.