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Australian Equity Market Cleanliness A Crucial ASIC Priority - Supervising The Integrity Of Australia’s Equity Markets Is One Of ASIC’s Most Important Functions. A Clean Market That Is Fair, Orderly, And Transparent Is Critical To An Efficient Economy, Writes ASIC Chair Joe Longo
Date 03/07/2024
Supervising the integrity of Australia’s equity markets is one of ASIC’s most important functions. Our market is among the cleanest in the world, and we are constantly seeking out any misconduct. While we are targeting leaks ahead of market announcements and insider trading, listed entities have a role to play in protecting their confidential information and reporting misconduct to ASIC.
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New Zealand Financial Markets Authority Censures deVere For Breaching Its Licence Obligations
Date 03/07/2024
The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has censured Auckland-based financial services firm deVere New Zealand Limited (deVere) for failing to comply with obligations under its Financial Advice Provider (FAP) licence.
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NZX Shareholder Metrics - June 2004
Date 03/07/2024
Please see attached NZX Limited shareholder metrics for June 2024.
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Statement On Jury’s Verdict In Trial Of Guy Gentile, Founder, Owner, And CEO Of MintBroker International, Ltd., f/k/a Swiss America Securities Ltd. And d/b/a SureTrader, Sanjay Wadhwa, Deputy Director, SEC Division Of Enforcement
Date 02/07/2024
Today, after a ten-day trial, a jury in the United States District Court for the Southern District of Florida found Guy Gentile, the founder, owner, and CEO of MintBroker International, Ltd., f/k/a Swiss America Securities Ltd. and d/b/a SureTrader, a Bahamas-based broker-dealer, liable as a control person of SureTrader, which operated as a broker-dealer in the United States without being registered, in violation of the federal securities laws. The jury also found Guy Gentile liable for inducing SureTrader’s registration violations.
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Cboe Global Markets Announces Date Of Second-Quarter 2024 Earnings Release And Conference Call
Date 02/07/2024
Cboe Global Markets, Inc. (Cboe: CBOE), the world's leading derivatives and securities exchange network, will announce its financial results for the second quarter of 2024 before the market opens on Friday, August 2, 2024. A conference call with remarks by the company's senior management will begin at 7:30 a.m. CT (8:30 a.m. ET).
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Robinhood Markets, Inc. To Announce Second Quarter 2024 Results On August 7, 2024
Date 02/07/2024
Today, Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) announced that it will release its second quarter 2024 financial results on Wednesday, August 7, 2024, after market close. An earnings conference call will be held at 2:00 PM PT / 5:00 PM ET on the same day. A live webcast of the call and supporting materials will be available at investors.robinhood.com. Following the call, a replay and transcript will also be available on the same website.
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CalPERS Expands Climate Transition Efforts By Almost $10 Billion
Date 02/07/2024
The California Public Employees’ Retirement System (CalPERS) announced today almost $10 billion in new actions aimed at investing in the global transition to a low-carbon economy, including new private market investments and a customized public equity index to enhance the pension fund's climate-aware investing.
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ISDA derivatiViews: Rules Must be Considered In Combination
Date 02/07/2024
In about 18 months, the first US Treasury securities will be mandated for clearing under new Securities and Exchange Commission (SEC) rules. As demonstrated by the efforts to introduce clearing in the derivatives markets a decade ago and, more recently, the implementation of margin requirements for non-cleared derivatives, a structural change of this scale will take time and careful thought. But we also can’t consider this requirement in isolation – we should think hard about the impact of various rules in combination to ensure policymakers achieve the outcome they want: a resilient, efficient Treasury market.
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SEC Updates Website To Improve Compliance, Functionality, And User Experience
Date 02/07/2024
The Securities and Exchange Commission today announced enhancements to its website to improve compliance with federal statutes and standards as well as the site’s functionality. The updates will improve the website’s user experience for market participants and the public.
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CFTC: Federal Court Orders Unregistered Michigan Pool Operator And Its President To Pay Over $13 Million For Forex Fraud
Date 02/07/2024
The Commodity Futures Trading Commission today announced Judge Sean F. Cox of the U.S. District Court for the Eastern District of Michigan entered a supplemental consent order against Dwight A. Foster and his firm K.E.L. Enterprises, Inc., both based in the West Bloomfield, Michigan area.
