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The Updated Coefficients For Moscow Exchange Indices To Come Into Force
Date 21/12/2017
The following coefficients for Moscow Exchange indices come into force from December 22, 2017:
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FINRA Fines Raymond James Financial Services, Inc. $2 Million For Failing To Reasonably Supervise Email Communications
Date 21/12/2017
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Raymond James Financial Services, Inc. $2 million for failing to maintain reasonably designed supervisory systems and procedures for reviewing email communications. In addition, Raymond James has agreed to conduct a risk-based retrospective review to detect potential violations evidenced in past emails.
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Ontario Securities Commission Adopts Final Rule For Distributions Outside Canada
Date 21/12/2017
The Ontario Securities Commission (OSC) today adopted OSC Rule 72-503 - Distributions Outside Canada, including Form 72-503F Report of Distributions Outside Canada and Companion Policy 72-503 Distributions Outside Canada. A consequential amendment to OSC Rule 11-501 Electronic Delivery of Documents To The Ontario Securities Commission has also been adopted.
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FINRA Warns Investors: Don’t Fall For Cryptocurrency-Related Stock Scams
Date 21/12/2017
The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors to beware of potential stock scams when considering the purchase of shares of companies that tout high returns associated with cryptocurrencies, such as bitcoin.
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Irish Stock Exchange: Mexican Telecommunications Company, AXTEL, Lists $500m Notes On GEM
Date 21/12/2017
Mexican telecommunications company, AXTEL, lists for the first time on the Global Exchange Market (GEM) of the Irish Stock Exchange (ISE) with issuance of US$500m notes. The notes, with a 6.375% interest rate, have a maturity date of November 2024.
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The Seismic Foundry Capital Markets FinTech SEIS Fund 2017-18 Makes First Investment
Date 21/12/2017
The Seismic Foundry Capital Markets FinTech SEIS Fund 2017-18 is excited to announce that their first investment is in Kite Edge, a search and content management provider which addresses the issues market participants face with the unbundling of research in the MiFID II environment.
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SEC Charges Operators Of $1.2 Billion Ponzi Scheme Targeting Main Street Investors
Date 21/12/2017
The Securities and Exchange Commission today announced charges and an asset freeze against a group of unregistered funds and their owner who allegedly bilked thousands of retail investors, many of them seniors, in a $1.2 billion Ponzi scheme.
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The Saudi Arabia Capital Market Authority Publishes A Preparation Guide For The Board's Report For Listed Companies
Date 21/12/2017
As part of the Capital Market Authority (CMA) efforts to regulate and develop the financial market and raise the level of governance by enhancing the principle of disclosure and transparency among listed companies in the financial market, the CMA has adopted and published a guide to assist in the preparation of the board's report.
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Bank Of England: Minutes Of The RTGS Renewal Programme External Advisory Body - December 2017
Date 21/12/2017
The third meeting of the Advisory Body was held in December.
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TAB Partners With Thomson Reuters Labs
Date 21/12/2017
TAB has partnered with Thomson Reuters Labs.
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