News Centre

Financial Regulators Of Japan And Abu Dhabi Global Market Cooperate On FinTech

Date 21/09/2017

The Financial Services Agency of Japan (‘FSA’) and the Financial Services Regulatory Authority (‘FSRA’) of Abu Dhabi Global Market (‘ADGM’) today announced the completion of a framework for co-operation to promote innovation in financial services in Japan and ADGM.

ASIC Facilitates Crowd-Sourced Funding By Public Companies

Date 21/09/2017

The Australian Securities and Investments Commission (ASIC) has released guidance for public companies and crowd-funding platform operators to support them in using the new crowd-sourced funding (CSF) regime, which commences on 29 September 2017.

Contineo Hires Per Nordstrom As Head Of Sales

Date 21/09/2017

Contineo, the industry-backed messaging network for equity-linked structured products, today announced the appointment of Per Nordstrom to drive business growth. 

Colnvestor Partners With Leading Cohort Of Fund Managers Ahead Of Peak Tax Season

Date 21/09/2017

CoInvestor, the alternative assets platform, has partnered with five major fund managers in the run-up to the height of the tax season. 

Statement On Cybersecurity, SEC Chairman Jay Clayton

Date 21/09/2017

Introduction

Data collection, storage, analysis, availability and protection (including security, validation and recovery) have become fundamental to the function and performance of our capital markets, the individuals and entities that participate in those markets, and the U.S. Securities and Exchange Commission ("Commission" or "SEC").  As a result of these and other developments, the scope and severity of risks that cyber threats present have increased dramatically, and constant vigilance is required to protect against intrusions.  The Commission is focused on identifying and managing cybersecurity risks and ensuring that market participants – including issuers, intermediaries, investors and government authorities – are actively and effectively engaged in this effort and are appropriately informing investors and other market participants of these risks. 

Trading Technologies Extends TT® Platform Into Hong Kong

Date 21/09/2017

Trading Technologies International, Inc. (TT), a global provider of high-performance professional trading software, today announced the availability of execution and client connectivity services through the Hong Kong Exchange and Clearing (HKEX) data center via its TT® platform.

Statement On Cybersecurity, SEC Commissioner Michael S. Piwowar

Date 21/09/2017

Effective management of internal cybersecurity risk is critical to the SEC achieving its mission and to protecting the nonpublic information that is entrusted to this agency.  I commend Chairman Clayton for initiating an assessment of the SEC’s internal cybersecurity risk profile and approach to cybersecurity from a regulatory perspective.  In connection with that review, I was recently informed for the first time that an intrusion occurred in 2016 in the SEC’s Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system.[1]  I fully support Chairman Clayton and Commission staff in their efforts to conduct a comprehensive investigation to understand the full scope of the intrusion and how to better manage cybersecurity risks related to the SEC’s operations.

SEC Chairman Clayton Issues Statement On Cybersecurity - Discloses The Commission’s Cyber Risk Profile, Discusses Intrusions At The Commission, And Reviews The Commission’s Approach To Oversight And Enforcement

Date 21/09/2017

SEC Chairman Jay Clayton today issued a statement highlighting the importance of cybersecurity to the agency and market participants, and detailing the agency’s approach to cybersecurity as an organization and as a regulatory body.

EDI Launches Alternative To NYSE Corporate Actions, By Tom Groenfeldt

Date 20/09/2017

Exchange Data International (EDI) has launched a complete replacement service for NYSE Corporate Actions at less than 50% of the redistribution costs charged by NYSE.

BEST Inc., Largest US IPO Of A Chinese Company This Year, Lists On The New York Stock Exchange

Date 20/09/2017

The American Depositary Shares of BEST Inc. (“BEST”), a leading Chinese supply chain technology firm, began trading today on the New York Stock Exchange (NYSE) under the ticker symbol “BSTI.” The company raised $450 million in gross proceeds and is the largest U.S. IPO of a Chinese firm year-to-date. GTS is the NYSE Designated Market Maker (DMM) for the company’s shares.