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SEC Charges Cannabis Investment Fund And Founder In Fraudulent Scheme - Agency Warns Retail Investors About Risks Of Marijuana-Related Investments

Date 05/09/2018

The Securities and Exchange Commission today charged a Texas-based investment fund and its founder with defrauding investors with false promises of massive returns in cannabis-related businesses. The SEC also issued an alert to warn retail investors about marijuana-related securities offerings.
SIFMA Statement On Senate Confirmation Of Elad Roisman As SEC Commissioner

Date 05/09/2018

SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, on the Senate confirmation of Elad Roisman as Commissioner of the U.S. Securities and Exchange Commission (SEC):

“We congratulate Elad Roisman on his confirmation as SEC commissioner and look forward to working with him on issues of importance to investors that enhance our capital markets, help stimulate economic growth and create jobs.”
FTSE UK Index Series Quarterly Review September 2018

Date 05/09/2018
- No changes to the FTSE 100
- Four changes to the FTSE 250
DTCC Comments On Senate Confirmation Of Roisman As Member Of The SEC

Date 05/09/2018

The Depository Trust & Clearing Corporation (DTCC) today issued the following statement in response to Senate confirmation of the new U.S. Securities and Exchange Commission (SEC) Commissioner.

The Finance Minister Has Approved A Series Of Substantial Reductions And Changes To The Qualification Conditions For Remote Membership Of The Tel-Aviv Stock Exchange

Date 05/09/2018

The approved reductions include a substantial decrease in the minimum equity requirement, which has been a barrier to entry to the Tel-Aviv Stock Exchange (TASE) for foreign entities, and an expansion of the list of countries of incorporation of a remote member, to include all the countries in the European Union, as well as Hong Kong and Singapore.

FTSE China Index Series Quarterly Review

Date 05/09/2018
- Two additions to the FTSE China A50 Index in this review period
- Two additions to the FTSE China 50 Index
ESMA Publishes Opinion On Proposed Amendments To SFTR Technical Standards

Date 05/09/2018

The European Securities and Markets Authority (ESMA) has published an Opinion in response to the European Commission’s (EC) proposed amendments of the technical standards on reporting under the Securities Financing Transactions Regulation (SFTR), which were notified to ESMA on 24 July 2018.
Bursa Malaysia Securities Reprimands, Fines And Orders To Strike Off Mohd Izzaidi Bin Hamzah For Misconducts And Violation Of Rules

Date 05/09/2018

Bursa Malaysia Securities Berhad (635998-W) (Bursa Malaysia Securities) has publicly reprimanded, imposed a fine of RM75,000 and ordered to strike off Mohd Izzaidi bin Hamzah (Izzaidi) from the Register if he was still a Registered Person of Bursa Malaysia Securities for misconducts/breaches and engaging in unlawful/irregular/unhealthy practice relating to account opening and unauthorised trades undertaken in the accounts of two clients (Clients).
Cyprus Stock Exchange Bulletin July 2018

Date 05/09/2018

Click here to download Cyprus Stock Exchange's bulletin for July 2018.
ESAs Report Finds Automation In Financial Advice Slowly Growing But Scale Of Market Remains Limited

Date 05/09/2018

The three European Supervisory Authorities (ESAs) – EBA, EIOPA and ESMA – today published the results of their monitoring exercise on automation in financial advice. The Report shows that while the phenomenon of automation in financial advice seems to be slowly growing, the overall number of firms and customers involved is still quite limited. As the identified risks have not materialised and considering the limited growth of the phenomenon, the ESAs believe that no immediate action is necessary.