News Centre

Qatar Stock Exchange: QE Index, QE Al Rayan Islamic Index And QE All Share Constituents October 1st 2017

Date 13/09/2017

UPDATE -- Nasdaq Named To Dow Jones Sustainability North America Index

Date 13/09/2017

Nasdaq (Nasdaq:NDAQ) today announced it has been selected as an index component of the Dow Jones Sustainability Indices (DJSI), one of the most prestigious corporate sustainability ranking efforts, for the second consecutive year. Nasdaq is one of approximately 160 North American companies included in the index, and one of only eight diversified financial services firms. It is the only stock exchange selected from North America.

FINRA Hearing Panel Fines C.L. King & Associates $750,000 For Negligent Misrepresentations And Omissions In Connection With Death Put Investments And AML-Related Violations

Date 12/09/2017

The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA extended hearing panel censured Albany, NY-based broker-dealer C.L. King & Associates, Inc. and fined the firm $750,000 for negligently making material misrepresentations and omissions to issuers in connection with the firm’s redemptions of debt securities on behalf of a hedge fund customer. The hearing panel also found that C.L. King and its AML Compliance Officer, Respondent Gregg Alan Miller, who was suspended in a principal capacity for six months and fined $20,000, failed to establish and implement a reasonable AML program and failed to adequately respond to red flags related to the liquidation of billions of shares of penny stocks indicative of potentially suspicious activity by two customers. The decision resolves charges brought by FINRA's Department of Enforcement in April 2016.

New DTCC White Paper Identifies Opportunities For Banks To Reduce Risk Capital Charges Related To FRTB - More Than 10 Billion OTC Derivative Transactions Analyzed In DTCC’s ‘‘Real Price Data Study” To Form Credible Observations And Recommendations

Date 12/09/2017

A new white paperfrom The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, suggests ‘real’ price and non-modellable risk factors (‘NMRF’) requirements under the Fundamental Review of the Trading Book (FRTB) will pose significant challenges to market participants, potentially mandating large increases in the capital that banks must maintain for market risk purposes (market risk capital). However, banks have an opportunity to reduce their market risk capital charges by using ‘pooled’ observable transaction data to demonstrate that the associated risk factors meet the ‘real’ price standards under FRTB.

Nasdaq Announces End-Of-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date August 31, 2017

Date 12/09/2017

At the end of the settlement date of August 31, 2017, short interest in 2,347 Nasdaq Global Market^SM securities totaled 7,585,840,717 shares compared with 7,365,215,632 shares in 2,352 Global Market issues reported for the prior settlement date of August 15, 2017. The end-of-August short interest represents 5.12 days average daily Nasdaq Global Market share volume for the reporting period, compared with 4.42 days for the prior reporting period.

FCAC And IIROC Sign MOU Setting Framework To Strengthen Consumer Protection

Date 12/09/2017

The Financial Consumer Agency of Canada (FCAC) and the Investment Industry Regulatory Organization of Canada (IIROC) announced today that they have signed a Memorandum of Understanding (MOU) that will strengthen consumer/investor protection.

The Remaking Of Wall Street: Paper Examines How Private Equity Firms Mirror Investment Banks In Power And Influence, By Neil Schoenherr September 12, 2017

Date 12/09/2017

Private equity firms are more financially stable and pose less systemic risk to the global economy than the large investment banks that went defunct during the financial crisis of 2007-09, finds a new analysis by a financial regulation expert at Washington University in St. Louis School of Law.

Canadian Securities Administrators Seeks New Members For Mining Technical Advisory And Monitoring Committee

Date 12/09/2017

The Canadian Securities Administrators (CSA) is inviting applications for new members to join the Mining Technical Advisory and Monitoring Committee (MTAMC).

ESMA Updates Q&A On MiFID II Implementation

Date 12/09/2017

The European Securities and Markets Authority (ESMA) has published today updated Questions and Answers (Q&As) regarding the implementation of the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR).

Chairman J. Christopher Giancarlo Remarks At The Global Forum For Derivatives Markets 38th Annual Bürgenstock Conference

Date 12/09/2017

Good evening, ladies and gentlemen. Thank you for your warm welcome.

It is good to be at the famous Bürgenstock Hotel that has hosted so many famous actors and actresses from Sophia Loren to Sean Connery.

Several of the James Bond movies were filmed in this area. Any minute, I expect to bump into one of the movie characters. Perhaps, like me, your favorite was Auric Goldfinger. I can already hear the theme music. Goldfinger’s headquarters were supposedly nearby.