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  • Mandatory Notification Of Trades - Oslo Børs VPS Holding ASA

    Date 24/05/2019

    In connection with a monthly share savings plan for employees of subsidiaries, Oslo Børs VPS Holding has sold a total of 2258 shares. New holding is 8858 shares. Employees paid a share price of NOK 159,00 per share, but were allowed a discount of 20% on purchases up to NOK 1,250.

  • Shenzhen Stock Exchange Conducts Censure On Shenzhen Datong For Its Refusal To Cooperate With The CSRC's Duty Performing According To Law

    Date 24/05/2019

    On May 23, Shenzhen Datong Industrial Co., Ltd. (hereinafter referred to as "Datong") disclosed the Notice on Receiving the Notice of Investigation of the China Securities Regulatory Commission. The Notice says that because Datong and its de facto controller failed to cooperate when the CSRC was performing duties according to law and are suspected of violating relevant securities laws and regulations, the CSRC decided to investigate Datong and its de facto controller according to relevant provisions of the Securities Law of the People's Republic of China. SZSE conducts censure on Datong and relevant personnel for such uncooperative behavior.

  • SEC, NASAA, And FINRA Issue Senior Safe Act Fact Sheet To Help promote Greater Reporting Of Suspected Senior Financial Exploitation

    Date 23/05/2019

    In recognition of the one-year anniversary of the passage of The Senior Safe Act, the Securities and Exchange Commission, the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) have issued a fact sheet to help raise awareness among broker-dealers, investment advisers, and transfer agents of the Act and how the Act’s immunity provisions work.

  • SIFMA Statement On The SECURE Act Of 2019

    Date 23/05/2019

    SIFMA today issued the following statement from President and CEO Kenneth E. Bentsen, Jr. on H.R. 1994, the Setting Every Community Up for Retirement Enhancement (SECURE) Act of 2019:

    “SIFMA applauds House passage of the SECURE Act 2019, which will enable even more Americans to participate in our retirement system and better prepare for a secure retirement. This legislation takes important, commonsense steps to expand the effectiveness of Individual Retirement Accounts, as well as employer-sponsored retirement savings plans. SIFMA appreciates the bipartisan attention paid to this important issue and thanks Chairman Richard Neal, Ranking Member Kevin Brady, and Reps. Ron Kind and Mike Kelly for their long-standing commitment to expanding retirement savings and retirement security for all Americans.”

  • IIROC AND Canadian Securities Administrators Provide Update On Conflicts Of Interest Arising From Soliciting Dealer Arrangements

    Date 23/05/2019

    The Investment Industry Regulatory Organization of Canada (IIROC) and the Canadian Securities Administrators (CSA) today published an update about the management of conflicts of interest arising from soliciting dealer arrangements.

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