News Centre

BOX Exchange: Regulatory Coordination Concerning CAT Reporting Compliance

Date 30/07/2020

Please refer to the following FINRA Regulatory Notice providing an update on coordination between the national securities exchanges and FINRA on the Consolidated Audit Trail (“CAT”) compliance rules (the “CAT Compliance Rules”), available at FINRA Regulatory Notice 20-20.

SEC Charges Former Georgia State Legislator With Defrauding Investors In Ponzi Scheme

Date 30/07/2020

The Securities and Exchange Commission today charged former Georgia state legislator and former member of the Georgia Board of Regents Clarence Dean Alford with defrauding at least 100 investors in his now-bankrupt energy development company, Allied Energy Services LLC.

BOX Exchange: Adoption Of Changes To Minor Rule Violation Plan Adding CAT Reporting Compliance Rules

Date 30/07/2020

BOX Exchange (“BOX” or “Exchange”) has adopted changes to its Minor Rule Violation Plan (“MRVP”) to make Participants’ violations of the Consolidated Audit Trail (“CAT”) compliance rules (“CAT Compliance Rules”) eligible for disposition with a minor rule violation fine, when warranted.

Moscow Exchange: Risk Parameters Change On Securities Market

Date 30/07/2020

CCP NCC changes PcH_max parameter value that defines price up limit for RKKE shares on Securities market starting from July 31, 2020:

Ontario Introduces Interim Registration And Prospectus Exemptions To Facilitate Start-Up Securities Crowdfunding

Date 30/07/2020

The Canadian Securities Administrators (CSA) today announced that in light of COVID-19 and the challenges it presents to small businesses seeking to raise capital, the Ontario Securities Commission (OSC) made an interim local order that adopts the start-up crowdfunding regime currently in place in certain other Canadian jurisdictions (the Interim Order).

IMF Executive Board Approves An Additional US$171.9 Million Disbursement Under The RCF To Madagascar To Address The COVID-19 Pandemic

Date 30/07/2020

• This is the second disbursement under the Rapid Credit Facility (RCF), which brings total IMF COVID-19 emergency support to the Republic of Madagascar to US$337.9 million.
• Madagascar’s macroeconomic outlook has been affected by weaker external demand, the increased spread of the pandemic, and significant losses of revenue.
• The additional resources under the RCF will help address urgent financing needs to mitigate the impact of the pandemic, including spending on health, social protection, and to support the most vulnerable, and catalyze additional donor resources.

SEC Charges CEO And Company With Defrauding First Responders And Others Out Of Millions

Date 30/07/2020

The Securities and Exchange Commission today announced charges against a San Antonio-area businessman and his company for running a multimillion-dollar fraudulent scheme that victimized scores of investors, many of them retired San Antonio police officers and other first responders.

EBA Updates On 2021 EU-Wide Stress Test Timeline, Sample And Potential Future Changes To Its Framework

Date 30/07/2020

The Board of Supervisors (BoS) of the European Banking Authority (EBA) agreed on the tentative timeline and sample of the 2021 EU-wide stress test. The exercise is expected to be launched at the end of January 2021 and its results to be published at the end of July 2021. 

The Board Of Directors Of BME Appoints Jos Dijsselhof As New Chairman

Date 30/07/2020

• David Jiménez-Blanco, former Lead Independent director of the company, is appointed new non-executive Deputy Chairman of BME and incoming non-executive Chairman of the Madrid Stock Exchange
• All agenda items were approved at the Extraordinary General Meeting of BME, held today in Madrid
• The number of directors is reduced to 6
• Eduardo Ansaldo to be appointed Chairman of the Barcelona Stock Exchange and Jorge Yzaguirre Chairman of Sociedad de Bolsas

Global X ETFs Releases New Telemedicine & Digital Health ETF Tracking ARTIS®-based Solactive Index

Date 30/07/2020

Digitization continues to permeate many areas of society’s everyday life. The healthcare sector is a prime example of this trend, as a historically localized and analog industry increasingly adopts digital solutions to improve health outcomes and reduce costs. To capture the growth potential associated with this theme, Global X ETFs is introducing the Telemedicine & Digital Health ETF (EDOC), which includes companies both providing or are affiliated with digital medical services and digital healthcare.