News Centre

Tokyo Stock Exchange: Monthly Single Stock Options Volume (Auction) Set A Record High

Date 31/01/2014

Single Stock Options reached a record high (since Oct. 2009) in monthly volume with 93,433 contracts in auction market last month (Jan.2014).

NZX Consults On Proposed Changes To NZMDT Rules - Consultation Memorandum And Exposure Draft Of Amendments To NZ Markets Disciplinary Tribunal Rules

Date 31/01/2014

NZX has today released a Consultation Memorandum in relation to proposed amendments to the NZ Markets Disciplinary Tribunal Rules (“Rules”) for public consultation.

Overview Of Earnings For 3Q FY2013 - Japan Exchange Group, Inc.

Date 31/01/2014

• Both cash equity trading value and derivatives trading volume continue to surpass the previous figures on a year-on-year basis.
• Accompanying the expansion of growth both in revenue and income, the earnings forecast for FY2013 was revised upward. 

ASIC Enforcement Report – July To December 2013

Date 31/01/2014

ASIC today released its fifth six-monthly enforcement report, detailing outcomes achieved between 1 July 2013 to 31 December 2013.

Japan Exchange Group, Inc. And Consolidated Subsidiaries - Consolidated Financial Results For Nine Months Ended December 31, 2013 (Japanese Standards), Unaudited

Date 31/01/2014

Click here to download Japan Exchange Group's consolidated financial results for nine months ended December 31, 2013.

ASIC: Pershing Securities Australia Pty Ltd Pays $15,000 Infringement Notice Penalty

Date 31/01/2014

Pershing Securities Australia Pty Ltd (Pershing) has paid a penalty of $15,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The penalty was for failing to give confirmations to Retail Clients for Market Transactions entered into on the Retail Clients’ instructions.

New Zealand's Financial Markets Authority AFA Update: Issue # 20 - Helping You Understand The Changes Ahead For DIMS

Date 31/01/2014

Check out our recent factsheet ‘Changes ahead for AFAs who provide DIMS’.

ASIC Releases Report On Regulating Complex Products

Date 31/01/2014

With financial products and markets continually growing in complexity, ASIC has reviewed its approach to regulating complex products.

SEC Charges Manhattan-Based Private Equity Manager With Stealing $9 Million In Investor Funds

Date 31/01/2014

The Securities and Exchange Commission today charged a Manhattan-based private equity manager and his firm with stealing $9 million from investors in their private equity fund. 

CFTC Announces Agenda For The Upcoming Public Meeting Of The Technology Advisory Committee

Date 30/01/2014

The U.S. Commodity Futures Trading Commission (CFTC) announces today the full agenda for the upcoming CFTC Technology Advisory Committee (TAC) public meeting. The meeting will be held on Monday, February 10, 2014 at the CFTC’s headquarters in Washington, D.C. from 10 a.m. to 5 p.m. For more information regarding the meeting, view CFTC Press 6840-13.