News Centre

Abu Dhabi Securities Exchange (ADX) Celebrates Emirati Women’s Day

Date 28/08/2019

Abu Dhabi Securities Exchange (ADX) celebrated Emirati Woman's Day, to highlight and commend the efforts made by Emirati women working at ADX. The celebration also sought to emphasise the importance of women's participation all across the financial sector, which is rooted in the UAE’s wise leadership policies aimed at female empowerment for Emirati women. This furthering of the personal development of women will also in turn, provide sustainable development for the country.

New Zealand's Financial Markets Authority: Former Promisia Chairman Admits Insider Trading Breaches

Date 28/08/2019

Eoin Malcolm Miller Johnson, a former director and chairman of NZX-listed Promisia Integrative Limited (PIL), has admitted to insider trading conduct and breaching a director’s disclosure obligations. He will pay $75,000, in lieu of a penalty, to the Financial Markets Authority (FMA).

Keynote Address - Financial Services Council Summit 2019 - A Keynote Address By ASIC Chair, James Shipton At The Financial Services Council Summit 'Shape Your Industry', Sydney, Wednesday 28 August 2019

Date 28/08/2019

Introduction

Good morning.

Today I will outline ASIC’s strategic priorities for the year ahead and then speak about some of our important work in the wealth management and insurance sectors.

Japan's Financial Services Agency - “FIN/SUM 2019”

Date 28/08/2019

The Financial Services Agency Japan (FSA) will organize “FIN/SUM 2019,” jointly with the Nikkei Inc. The aim of this event is to advocate to the global community the current developments and growth inherent to the Japan’s FinTech, and to create a global eco-system and new form of cooperation and collaboration among various FinTech stakeholders, in which Japan serves as a hub. The event will be held from September 3 to September 6, 2019, in Marunouchi, Tokyo.
 

ASIC’s Corporate Plan 2019-2023

Date 28/08/2019

ASIC’s Corporate Plan 2019-20 to 2022-23 sets out our change agenda and regulatory priorities. It explains how we will act strategically to address misconduct in the financial system and improve consumer outcomes.

FINRA EVP Of Office Of Fraud Detection And Market Intelligence Cameron Funkhouser Announces Retirement

Date 27/08/2019

FINRA today announced the retirement of Executive Vice President Cam Funkhouser after more than 35 years of service at the organization. Funkhouser has led FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI) – including the Insider Trading and Fraud Surveillance units, FINRA's Complaint Center and FINRA's Whistleblower program – since its creation 10 years ago. He will remain in his position until the end of the year.

Joint Statement Of SEC Commissioners Robert J. Jackson, Jr. And Allison Herren Lee On Proposed Changes To Regulation S-K

Date 27/08/2019

We support sending out for public comment the recently proposed revisions to Regulation S-K, the central repository for non-financial statement disclosure. We’re especially grateful to our colleagues in the Division of Corporation Finance, Director Bill Hinman, Betsy Murphy, Felicia Kung, Lisa Kohl, Elliott Staffin, Sandra Hunter Berkheimer, and Shehzad Niazi for their careful and diligent work on this proposal.

With The US Corporate Bond Market Evolving, TABB Research Examines How Strategies, Trading, Services Are Dealing With New Electronic Trading Venues And Market Forces

Date 27/08/2019

TABB Group says the US Corporate Bond market is at the center of a whirlwind storm, an evolving bond market ecosystem with the buy side in the eye of that storm.

SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser With $100 Million Fraud

Date 27/08/2019

The Securities and Exchange Commission today charged a Pennsylvania investment adviser with operating an investment advisory fraud involving over $100 million in investments. The SEC also obtained an emergency asset freeze.

ESMA Issues Opinions On Product Intervention Measures By Slovenia

Date 27/08/2019

The European Securities and Markets Authority (ESMA) has today issued two positive opinions on product intervention measures taken by the National Competent Authority (NCA) of Slovenia. ESMA’s opinion finds that the proposed measures are justified and proportionate and that it is necessary for NCAs of other Member States to take product intervention measures that are at least as stringent as ESMA’s measures.