News Centre

United Kingdom Parliament Treasury Committee Update: RBS Chief Executive Ross McEwan "Withheld Information" During Evidence

Date 14/09/2018

The Times reported in July that Police Scotland is investigating certain criminal allegations in relation to a former RBS Global Restructuring Group (GRG) employee.

Canadian Securities Regulators Announce Agreement With Kx To Deliver Advanced Post-Trade Analysis

Date 14/09/2018

The Canadian Securities Administrators (CSA) today announced that it has selected Kx, a division of First Derivatives plc, to build and manage a next-generation market analytics platform designed to identify, assess and investigate potential market abuse cases.

SEC Monitoring Impact Of Hurricane Florence On Capital Markets

Date 13/09/2018

The Securities and Exchange Commission is closely monitoring the impact of Hurricane Florence on investors and capital markets. 

MIAX Options & MIAX PEARL - Disaster Recovery Connectivity Testing In Preparation For Reg SCI / SIFMA BCP Testing On October 13, 2018

Date 13/09/2018

As previously announced in the April 04, 2018 Alert the MIAX Exchanges will be participating in the 2018 SIFMA BCP Testing on Saturday, October 13, 2018.

CUSIP Request Volume Reaches Record High In August, Signaling Growth New Security Issuance - Municipal, Corporate Equity And Corporate Debt Pre-Market Activity Roars Back From July Slowdown

Date 13/09/2018

CUSIP Global Services (CGS) today announced the release of its CUSIP Issuance Trends Report for August 2018. The report, which tracks the issuance of new security identifiers as an early indicator of debt and capital markets activity, found across-the-board growth in monthly request volume for new municipal, corporate equity and corporate debt identifiers in August. This is suggestive of a strong pace of new security issuance.

B3 Is Included In The Report On ESG Integration Factors Produced By The Principles For Responsible Investment (PRI) And CFA Institute - The Report Will Be Launched At The PRI In Person Conference In The USA This Thursday

Date 13/09/2018

This week, San Francisco hosts the annual conference organized by the Principles for Responsible Investment (PRI), the largest responsible investment initiative in the world. B3 participates in the panel on responsible investments, risk and opportunity in Latin America through its Media Relations, Sustainability, Communications, and Social Investment director, Sonia Favaretto.

A Weed-Nap Deferred? Short Sellers Selective Amid Cannabis Rally - Analysis From Sam Pierson, Securities Finance Director, IHS Markit On The Latest Short Balances In The Cannabis Sector

Date 13/09/2018

• Short balances in the US/CA Cannabis sector at all-time high
• 17 Cannabis related stocks have seen shares short increase since Aug 1st
• Meaningful reduction in some short positions, notably Canopy Growth

CFTC Commissioner Quintenz To Keynote At ICDA 39th Annual European Summit (Bürgenstock)

Date 13/09/2018

SEC: Broker-Dealer To Pay $2.75 Million Penalty For Providing Deficient Blue Sheet Data

Date 13/09/2018

The Securities and Exchange Commission today announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will pay $2.75 million to settle charges that the broker-dealer firm provided the SEC with incomplete and deficient securities trading information known as “blue sheet data.”

ETFGI Reports Assets Invested In ETFs And ETPs Listed In The Canada Reached A New High Of US$131 Billion At The End Of August 2018

Date 13/09/2018

ETFGI, a leading independent research and consultancy firm on trends in the global ETF/ETP ecosystem, reported today that ETFs and ETPs listed in Canada reached a new high of US$131 billion in assets, following net inflows and market moves of US$2.19 billion during August. The 6.76% increase in total assets marks the largest monthly change since March 2016, according to ETFGI’s August 2018 Canada ETF and ETP industry landscape insights report, an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)