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News Centre

SEC Charges 71 Municipal Issuers In Muni Bond Disclosure Initiative

Date 24/08/2016

The Securities and Exchange Commission today announced enforcement actions against 71 municipal issuers and other obligated persons for violations in municipal bond offerings.
Malta Stock Exchange Newsletter Q2 2016

Date 24/08/2016

Click here to download the second edition of the Malta Stock Exchange newsletter.
Tehran Stock Exchange's First Building And Construction Fund Listed

Date 24/08/2016

Narvan building and construction fund was admitted to be listed at Tehran Stock Exchange.
TMX Group: Unlocking Growth Opportunities For Canada’s Innovation Economy - Investor-Led Roundtable To Recommend Solutions To Canada's Growth Capital Gap

Date 24/08/2016

TMX Group today announced that it is funding an independent working group, the Advancing Innovation Roundtable, which will examine ways to increase access to growth capital for companies in Canada's innovation economy. Launching in September 2016, the Roundtable will focus on the scalability issues of Canadian technology and innovation firms caused by insufficient growth funding beyond the initial seed and start-up stages. The Roundtable will deliver a set of actionable recommendations in early 2017 on how to successfully scale globally competitive enterprises in a variety of sectors including technology, clean technology, life sciences and advanced manufacturing.
Settrade Kicks Off “Settrade Digital Investment Day”

Date 24/08/2016

Settrade.com Co., Ltd., a leading internet trading provider for equity and derivatives products, joins hands with 25 leading brokers to hold “Settrade Digital Investment Day” event on August 27, 2016 in Bangkok to showcase the “Settrade Streaming” trading application with newest function “Settrade Conditional Order” as well as introducing “Sense”, the upcoming intelligent personal assistant function, while highlighting seminars to show key functions of instruments at the venue.

ASIC Bans Former Macquarie Adviser Anthony Jason Sourris

Date 24/08/2016

ASIC has banned Anthony Jason Sourris, of Kenmore, Queensland, from providing financial services for two and a half years.
Moscow Exchange: Risk Parameters For Bond

Date 24/08/2016

This bond will be transferred to the partial collateral from August 25, 2016. From this date on, the following risk parameters will be applied:
ASIC Bans Former Macquarie Adviser Sarah Kate Gardner

Date 24/08/2016

ASIC has banned Sarah Kate Gardner, of Mooloolaba, Queensland, from providing financial services for one year.
Hong Kong's Securities And Futures Commission Reprimands And Fines Morgan Stanley Hong Kong Securities Limited $18.5 Million Over Internal Control Failures

Date 24/08/2016

The Securities and Futures Commission (SFC) has resolved its concerns with Morgan Stanley Hong Kong Securities Limited (MSHK) over its internal control failures. Under the resolution, the SFC reprimanded and fined MSHK $18.5 million for breaches of the Code of Conduct.
ASIC: Macquarie Investment Management Penalised Over Corporations Act Contraventions

Date 24/08/2016

The Supreme Court of New South Wales has found that Macquarie Investment Management Ltd (MIML) contravened the Corporations Act by failing to comply with its duties as a responsible entity of the van Eyk Blueprint International Shares Fund (VBI Fund). The Court made declarations of contravention and ordered that MIML pay a civil pecuniary penalty of $400,000, as well as $200,000 for ASIC's legal costs.