News Centre

Shenzhen Stock Exchange: Establishing Program Trading Reporting System And Regulatory Arrangements To Promote The Standardized Development Of Program Trading

Date 07/09/2023

On September 1, Shenzhen Stock Exchange (SZSE) issued the Notice on Matters Related to Stock Program Trading Reporting (the “Reporting Notice”) and the Notice on Matters Related to the Strengthened Management of Program Trading (the “Management Notice”). These notices expanded the program trading reporting system from convertible bonds to stocks, funds and other trading instruments. They further improved the reporting and management system for program trading, maintaining the stability and healthy development of the securities market. The Reporting Notice and the Management Notice will be implemented simultaneously starting from October 9, 2023. This initiative of SZSE is in line with the requirements of the new Securities Law and responds to market demands. It represents a measure to deepen institutional innovation in key areas and helps to enhance market transparency, promoting the standardized development of program trading.

HKEX Celebrates Opening Of London Office

Date 07/09/2023

Hong Kong Exchanges and Clearing Limited (HKEX), one of the world’s leading exchange groups, was this week pleased to celebrate the opening of its new office in London, further extending its international reach.

ASIC Issues New Legislative Instruments For Financial Resource Requirements And Platforms

Date 07/09/2023

ASIC has released four new legislative instruments and updated its guidance regarding the financial resource requirements that apply to some categories of Australian financial services licensees and platforms.

Shenzhen Stock Exchange Market Bulletin, September 1, 2023, Issue 29

Date 07/09/2023

Click here to download Shenzhen Stock Exchange's market bulletin, issue 29.

FINRA Announces Results Of Governor Elections - Firms Elect Scott A. Curtis As A Large-Firm Governor, Re-Elect Wendy Lanton As A Small-Firm Governor

Date 06/09/2023

FINRA announced today the results of its election of two Governors to its Board of Governors. The announcement came after the Annual Meeting of FINRA firms, where Scott A. Curtis, president of Raymond James’ Private Client Group, was elected as a Large-Firm Governor, and Wendy Lanton, Chief Compliance Officer and Founding Principal of Herold & Lantern Investments, Inc., was re-elected as a Small-Firm Governor.

SIFMA Statement On Consolidated Audit Trail Funding Model

Date 06/09/2023

 SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., president and CEO of SIFMA, on the Securities and Exchange Commission (SEC) approval of the self-regulatory organizations (SROs) proposed amendment to the National Market System Plan Governing the Consolidated Audit Trail (CAT NMS Plan) to adopt a revised funding model, known as the Executed Share Model, for the CAT:

Cboe Global Markets Reports Trading Volume For August 2023

Date 06/09/2023

Cboe Global Markets, Inc. (Cboe: CBOE), the world's leading derivatives and securities exchange network, today reported August monthly trading volume statistics across its global business lines.

NYSE President And ICE Fixed Income & Data Services Chair Lynn Martin To Present At The UBS Fintech Leaders Conference On September 14

Date 06/09/2023

Intercontinental Exchange, Inc. (NYSE:ICE), a leading global provider of data, technology, and market infrastructure, announced today that Lynn Martin, NYSE President and Fixed Income & Data Services Chair, will present at the UBS Fintech Leaders Conference. The presentation will take place on Thursday, September 14 at 10:00 a.m. ET. The presentation will be available live and in replay via webcast and can be accessed in the investor relations and media section of ICE’s website at http://ir.theice.com/.

SEC Charges Fluor Corp. For Accounting Improprieties - Five Former And Current Employees Charged With Causing Company’s Violations

Date 06/09/2023

The Securities and Exchange Commission today announced that Irving, Texas-based Fluor Corporation will pay $14.5 million to settle charges stemming from the company’s improper accounting on two large-scale, fixed-price construction projects. Five former and current officers and employees also agreed to settle related charges for causing Fluor’s violations.

CFTC Commissioner Goldsmith Romero To Provide Opening Remarks At The North American Securities Administrators Association’s 2023 Fall Annual Meeting

Date 06/09/2023