News Centre

Qatar Financial Markets Authority Announces The Enforcement Of Stock Split On 9 June 2019

Date 09/04/2019

ASIC Welcomes FRC Report On Audit Enforcement

Date 09/04/2019

ASIC has welcomed the release of the report by Australia’s Financial Reporting Council (FRC) Auditor Disciplinary Processes: Review and the Federal Government’s response to that report.

New Zealand's Financial Markets Authority: Former CFO To Pay $150,000, Barred For Securities Markets Act Breaches

Date 09/04/2019

Mark Stephen Talbot, a former virtual chief financial officer of VMob (now Plexure) will pay $150,000 in lieu of a penalty and is barred from acting as a director or manager of a listed business for 5 years. Mr Talbot has admitted to insider trading conduct and entered a guilty plea on a representative charge for a breach of disclosure obligations at Auckland High Court last month.

ASIC Enforcement Update July To December 2018

Date 09/04/2019

ASIC has today released its enforcement update report for the period 1 July 2018 to 30 December 2018.

ISDA Publishes Asia Derivatives Survey

Date 09/04/2019

Trading volumes in Asia’s derivatives markets are expected to increase, but achieving certainty on close-out netting is identified as an important factor in driving further development of local markets, according to a new survey of derivatives market participants active in Asia-Pacific, published by ISDA to coincide with the start of the 34th ISDA Annual General Meeting (AGM) in Hong Kong.

Bolstering Capital Formation: The Third Leg Of The SEC's Mission, Martha Miller, SEC Advocate For Small Business Capital Formation, The SEC Speaks In 2019, Washington D.C., April 8, 2019

Date 08/04/2019

Introduction

Thank you for the invitation to join you today during SEC Speaks. This is likely the first time many of you are hearing from our Office, which has been in operation for just over two months (68 days to be exact). I look forward to introducing you to the plans for the new Office of the Advocate for Small Business Capital Formation, including previewing our Office’s new business plan, which we are publishing today.

Nasdaq March 2019 Volumes, 1Q19 Estimated Revenue Capture And Listings Statistics

Date 08/04/2019

Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for March 2019, as well as quarterly volumes, number of listings and estimated revenue capture for the quarter ending March 31, 2019 on its investor relations website.

Remarks At SEC Speaks: Encouraging Smaller Entrants To Our Capital Markets, SEC Commissioner Elad L. Roisman, The SEC Speaks, Washington D.C., April 8, 2019

Date 08/04/2019

I. Introduction

Good afternoon. Thank you to everyone who hurried back from lunch to hear me speak. The pressure is on for me to make it worth your while. I never imagined that I would be standing at this podium, but I am excited to be here. I recognize that many of you are here today to get insight into what we are focusing on at the Commission. I would like to take this opportunity to let you know what you can expect to hear from me in the coming year.

Refinitiv Global Investment Banking Review - First Quarter 2019

Date 08/04/2019

Refinitiv is pleased to present Refinitiv's Global Investment Banking Review for the first quarter of 2019. ​

• Global Investment Banking fees total US$22.8 billion during first quarter 2019
• ECM fees down 41%; M&A down 8%; Loans down 16%; DCM flat compared to 2018
• Fees generated by the Retail sector falls 53%

Important Issues For Investors In 2019, Rick Fleming, SEC Investor Advocate, The SEC Speaks In 2019, Washington D.C.

Date 08/04/2019

Good afternoon. I hope you are enjoying this year’s edition of SEC Speaks, which gives the public a good overview of all the work that is going on at the Commission. In the Office of the Investor Advocate, we track all of these issues, as well as the activities of the self-regulatory organizations, and this conference can give you some idea of the breadth of issues that are covered by the phenomenal staff in my Office. We also try to provide an important outreach mechanism so that Commissioners and staff can hear directly from investors and their representatives, and I particularly want to commend SEC Ombudsman Tracey McNeil and her counsel, Dan Morris, for putting together an event last week that allowed SEC staff to interact with 60 law students and faculty who represent investors of limited means in law school advocacy clinics.