News Centre

UK's Financial Conduct Authority Publishes Interim Findings Of Study Into Retirement Income Market

Date 12/07/2017

The Financial Conduct Authority (FCA) has today published the interim findings of the Retirement Outcomes Review. Launched in July 2016, this is the first major comprehensive study into how the retirement income market is changing since the pension freedoms.

NEX Group Plc – Trading Statement

Date 12/07/2017

• Q1 Group revenue up 10% on a constant currency basis
• NEX Transformation Programme – on track
• triReduce compression service surpasses $1 quadrillion in notional principal eliminated

FINRA Successfully Launches Reporting Of Treasury Transactions, Providing Regulators With Enhanced Insight Into Treasury Market

Date 12/07/2017

A new requirement for securities firms to report certain transactions in Treasury securities to FINRA was implemented successfully yesterday, providing regulators with a new tool to increase understanding and enhance surveillance of this bellwether market.

NZX Half Year 2017 Results Announcement Date

Date 11/07/2017

NZX intends to release its half year 2017 financial results before market open on Tuesday 15 August 2016.

Federal Court In Florida Orders Anthony J. Klatch II, Lindsey Heim, And Their Company Assurance Capital Management, LLC To Pay More Than $2.4 Million In Restitution And Civil Monetary Penalties For Commodity Pool Fraud And Misappropriation - The Court Also Ordered Klatch To Affirmatively Disclose His Violations Of The Commodity Exchange Act And CFTC Regulations In Connection With All Future Speeches Or Writings Related To Commodity Interests- In Related Criminal Actions, Klatch And Heim Pleaded Guilty In The U.S. District Court For The Middle District Of Florida

Date 11/07/2017

The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Susan C. Bucklew of the U.S. District Court for the Middle District of Florida entered an Order of Final Judgment by Default against Defendants Anthony J. Klatch II, Lindsey Heim, and their company Assurance Capital Management, LLC (ACM) for defrauding pool participants in a commodity pool they operated, misappropriating pool participants’ funds, and other violations of the Commodity Exchange Act and CFTC Regulations.

OSC Publishes Summary Report For Dealers, Advisers And Investment Fund Managers

Date 11/07/2017

The Ontario Securities Commission (OSC) today published OSC Staff Notice 33-748 Annual Summary Report for Dealers, Advisers and Investment Fund Managers. 

Bats Welcomes Second Principal Fund To The Bats ETF Marketplace - 36 Issuers, 184 Funds Now Listed On Bats In The U.S.

Date 11/07/2017

Bats, a CBOE Holdings, Inc. company, and a leading market for exchange-traded product (ETP) trading globally, today welcomed a second Principal fund to the Bats ETF Marketplace.

CalPERS Seeking Transition Managers In Global And Private Equity - Solicitation For Qualified Managers Opens Today And Will Close Late August

Date 11/07/2017

The California Public Employees' Retirement System today announced the opening of the 2017 Transition Manager Solicitation. The solicitation is open to all qualified managers in the Global Equity and Private Equity asset classes.

Bats Welcomes New Issuer SportsETFs To The Bats ETF Marketplace - 36 Issuers, 184 Funds Now Listed On Bats In The U.S.

Date 11/07/2017

Bats, a CBOE Holdings, Inc. company, and a leading market for exchange-traded product (ETP) trading globally, today welcomed new issuer SportsETFs to the Bats ETF Marketplace with the launch of one fund.

Toronto Stock Exchange And TSX Venture Exchange Host Sixth Annual Charity Golf Tournament - Remote Market Close Ceremony To Be Held At University Golf Club In Vancouver

Date 11/07/2017

Toronto Stock Exchange and TSX Venture Exchange will host the sixth annual TMX Charity Golf Classic today at Vancouver's University Golf Club. The tournament has raised over $400,000 for a variety of charities over the past five years.