News Centre

Hong Kong Securities And Futures Commission Reprimands And Fines Sincere Securities Limited $5 Million For Internal Control Failings

Date 15/08/2019

The Securities and Futures Commission (SFC) has reprimanded and fined Sincere Securities Limited (SSL) $5 million for a series of internal control failings and regulatory breaches.

Indian Ambassador To UAE Rings Nasdaq Dubai Market Opening Bell To Celebrate Independence Day

Date 15/08/2019

His Excellency Navdeep Suri, India’s ambassador to the United Arab Emirates, has celebrated India’s Independence Day by ringing the market-opening bell at Nasdaq Dubai.

Nasdaq First North Granted SME Growth Market Status

Date 15/08/2019

• New EU status aims to facilitate access to capital for SMEs and is expected to strengthen the international profile of Nasdaq First North
• The transition will become effective on September 1, 2019, and the equity segment will then be referred to as Nasdaq First North Growth Market

Dalian Commodity Exchange Releases Polished Round-Grained Rice Futures Contract And Relevant Rules

Date 15/08/2019

Dalian Commodity Exchange (DCE) releases the Polished Round-grained Rice Futures Contract and relevant rules on August 13, marking one step closer to the listing of the polished round-grained rice futures.

Redefining Conduct In FX Markets - A Speech By ASIC Commissioner Cathie Armour At The ACI Redefining Conduct In FX Markets Seminar, Sydney, 14 August 2019

Date 15/08/2019

Introduction

Good evening. Thank you for inviting me to speak.

Let me begin by acknowledging the Traditional Owners’ ongoing connection to and custodianship of the lands on which we meet today, and pay my respects to elders past, present and future.

ASX Limited Full-Year Results To 30 June 2019 (FY19)

Date 15/08/2019

• Strong financial result – statutory NPAT up 10.5% to $492.0m; underlying NPAT up 5.7% to $492.0m 
• Growth in earnings per share for 7th year in a row – statutory EPS up 10.5% to 254.1c 
• On a like-for-like accounting basis NPAT1 up 12.6% and EPS up 12.6% 
• Solid performance in core businesses and growth in initiatives driving shareholder returns - final dividend up 4.8% to 114.3 cents per share (cps), plus special dividend of 129.1 cps funded by proceeds of IRESS sale

Keynote Address At Risk Australia Conference - Keynote Address By John Price, Commissioner, Australian Securities And Investments Commission At The Risk Australia Conference, (Sydney, Australia) 15 August 2019

Date 15/08/2019

Introduction

Good morning everyone. Thank you for the opportunity to speak to you today about emerging threats and harms.

Today, I will be touching on three things:

• How we identify Threats and Harms at ASIC
• Emerging threats and harms we have identified, and
• How we are addressing these Threats and Harms through our strategic priorities.

SEC Wins Jury Trial Against Broker Charged With Insider Trading

Date 14/08/2019

Today, jurors in Atlanta federal court returned a verdict finding New Jersey securities broker Raymond J. Pirrello, Jr. liable for insider trading in advance of three merger and acquisition transactions.

CFTC Swaps Report Update

Date 14/08/2019

CFTC's Weekly Swaps Report has been updated, and is now available.

SEC Charges Broker-Dealer With Violations Of Gatekeeping Provisions Aimed At Protecting Investors

Date 14/08/2019

The Securities and Exchange Commission today charged Canaccord Genuity LLC, a broker-dealer headquartered in New York City, with enabling trading in dozens of thinly-traded securities without conducting the review required by the federal securities laws.