News Centre

Alexander Nam To Head National Settlement Depository’s New Business Line

Date 02/06/2017

National Settlement Depository (NSD), Russia’s central securities depository, has launched a new strategic business line – Technological Services. Alexander Nam has been appointed Managing Director of this new business line.

Deutsche Börse Cash Market: Aroundtown Property Holdings Plc Lists In Prime Standard

Date 02/06/2017

Aroundtown Property Holdings plc (ISIN: CY0105562116) is listed in the Prime Standard of the Frankfurt Stock Exchange as of today. The shares were previously tradable in the Quotation Board, but the company has now decided to move its primary listing to Frankfurt. quirin bank AG arranged the listing, while Berenberg, Oddo Seydler and M.M. Warburg act as designated sponsors for Xetra trading. Tradegate AG is the specialist on Börse Frankfurt.

OneChicago Announces Trading Volume For May 2017 - May Marked A 46% Year-On-Year Increase

Date 02/06/2017

OneChicago, LLC (OCX), a securities finance exchange, today announced its May 2017 volume of 1,524,316 an increase of 46% year-over-year. OneChicago is a CFTC and SEC regulated exchange offering Single Stock Futures (SSF), a Delta One product, on approximately 1,800 equities, including ADRs and ETFs.

NZX Annual Meeting 2017

Date 01/06/2017

Dear fellow shareholder,

On behalf of the Board of directors I am pleased to invite you to the Annual Meeting of NZX Limited shareholders, commencing at 10.00am on Friday 30 June 2017.

CalPERS Comments On Paris Agreement Decision

Date 01/06/2017

The California Public Employees' Retirement System (CalPERS) has issued the following statement from Marcie Frost, chief executive officer of CalPERS, concerning the decision today by President Donald Trump to withdraw the United States from the Paris Climate Change Agreement:

"CalPERS supports the Paris Agreement because it makes financial sense. It's notable that the decision to withdraw from the Paris Agreement comes just one day after ExxonMobil shareowners passed a resolution calling on the company to disclose climate change risks. There is growing support in the business and financial community for the goals of the Paris Agreement – to limit global warming to 2 degrees or less."

Public Comments From Retail Investors And Other Interested Parties On Standards Of Conduct For Investment Advisers And Broker-Dealers, SEC Chairman Jay Clayton, June 1, 2017

Date 01/06/2017

The Department of Labor recently stated that the applicability date for what is commonly referred to as the "Fiduciary Rule" would be June 9, 2017.  The Department also stated that it intended to issue a Request for Information regarding various aspects of its Fiduciary Rule. In connection with these actions, Secretary Acosta stated his desire that the Department of Labor and the Securities and Exchange Commission ("SEC" or "Commission") engage constructively as we each pursue our ongoing analyses of the standards of conduct applicable to investment advisers and broker-dealers when they provide investment advice to retail investors.

Strategic Initiatives To Improve Regulator's Effectiveness - IIROC 2018 Priorities Position Public Interest Regulator For The Future

Date 01/06/2017

The Investment Industry Regulatory Organization of Canada (IIROC) today published its 2018 Priorities, outlining 16 key areas of focus where the public interest regulator will take action to better protect investors and promote healthy capital markets in Canada.

OCC Cleared Contract Volume Up 19 Percent In May

Date 01/06/2017

• Securities Lending Activity Up 26 Percent in May and 19 Percent Year-to-Date
• Cleared Futures Volume Up Record 61 Percent in May
• Index Options Volume Up 21 percent in May

FINRA Bars Former Morgan Stanley Registered Representative For Using Nominee Accounts To Conceal $190 Million In Venezuelan Bond Trades

Date 01/06/2017

The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for concealing approximately $190 million in Venezuelan bond trades from the firm, which had restricted such trading due to the regulatory, anti-money laundering and reputational risks it posed. Instead, Bocchino continued to trade in Venezuelan bonds on behalf of his customers, but hid the trades from the firm by using several nominee accounts in the names of well-known U.S. financial institutions, and directing the trades through those accounts. Unbeknownst to these financial institutions, Bocchino executed approximately 300 Venezuelan bond trades in the accounts opened in their names. To further conceal his customers’ trading, Bocchino created hundreds of firm documents, including new account forms and trade tickets, that contained false information.

ESMA Consults On Measures For CCPs To Manage Conflicts Of Interest

Date 01/06/2017

The European Securities and Markets Authority (ESMA) opened today a public consultation on future guidelines, which further clarify provisions stemming from the European Market Infrastructure Regulation (EMIR).