Shenzhen Stock Exchange Promulgated The Information Disclosure Guidelines For...
Since January 2013, in order to increase the effectiveness of information disclosure of listed companies and improve the market transparency, Shenzhen Stock Exchange (‘SZSE’) has promulgated a series...
View ArticleSFC Issues Restriction Notice To A Broker To Stop Two Clients From...
The Securities and Futures Commission (SFC) has issued a Restriction Notice to BOCI Securities Limited (BOCI) prohibiting it from processing shares and/or money held in two client accounts that hold...
View ArticleA Delegation From SCA, ADX, And DFM Reviews US Financial Regulatory Structure...
In line with the directives of H.E. Eng. Sultan bin Saeed Al Mansoori, Minister of Economy and Board Chairman of the Securities and Commodities Authority (SCA), and as part of initiatives aimed to set...
View ArticleGPW Extends The Transaction Fee Reduction For Market Makers Of Shares
The Warsaw Stock Exchange has extended its reduction of fees for Market Makers, i.e., a temporary waiver of fees for transactions on the regulated market charged to Market Makers of shares of companies...
View ArticleCFTC Orders Raja Michael Mawad and His Texas-Based Company, RNS Holdings LP,...
The U.S. Commodity Futures Trading Commission (CFTC) filed and simultaneously settled charges against Respondents Raja Michael Mawad, who resided in Houston, Texas, and the company he founded, owned,...
View ArticleComptroller Of The Currency Discusses OCC Supervision Of Wells Fargo
Comptroller of the Currency Thomas J. Curry today discussed supervision leading up to the recent enforcement actions against Wells Fargo Bank, N.A., for unsafe and unsound sales practices. His remarks...
View ArticleCFTC Orders Raja Michael Mawad And His Texas-Based Company, RNS Holdings LP,...
The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against Respondents Raja Michael Mawad, who resided in Houston, Texas during the relevant period...
View ArticleTwo MAB Companies Shortlisted As Candidates For the 4th. "European Small...
Grenergy and Inclam, two companies listed on the Mercado Alternativo Bursátil (MAB) have been shortlisted as candidates for the fourth edition of the "European Small and Mid-Cap Awards" among a large...
View ArticleBats Welcomes VanEck As A New U.S. Issuer, Building Upon European...
Bats Global Markets, Inc. (Bats: BATS), the #1 market globally for exchange-traded fund (ETF) trading, today welcomed VanEck as a U.S. issuer on The Bats ETF Marketplace, building upon the European...
View ArticleTMB Asset Management Selects FTSE Thailand Mid/Small Cap Minimum Variance Index
FTSE Russell, the global index and data provider, today announces that TMB Asset Management, one of Thailand’s largest fund houses, has chosen the FTSE Thailand Mid/Small Cap Minimum Variance Index for...
View ArticleESMA Consults On Trading Obligation For Derivatives
The European Securities and Markets Authority (ESMA) has published today a discussion paper regarding the trading obligation under the Markets in Financial Instruments Regulation (MiFIR).read more...
View ArticleCFTC Charges Florida-Based KB Concepts Group, LLC and Kelvin Burgos with...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil injunctive enforcement action in the U.S. District Court for the Southern District of Florida against Florida-based Defendants KB...
View ArticleASMAK To Benefit From Registrar Services At ADX - ADX Expects More National...
Abu Dhabi Securities Exchange (ADX) has announced that it has signed an agreement to provide registrar services with International Fish Farming Holding Company (ASMAK), thus increasing the number of...
View ArticleDubai Financial Services Authority Fines Clements (Dubai) Limited
The Dubai Financial Services Authority (DFSA) has imposed a fine of USD 85,191 (AED 312,650.97) on Clements (Dubai) Limited (CDL). The fine was imposed following a DFSA investigation conducted in...
View ArticleGlobal Financial Centres Index: London Remains On Top But We Await The Impact...
Today Z/Yen publishes the twentieth Global Financial Centres Index (GFCI 20). Z/Yen are delighted to be working in collaboration with the China Development Institute (CDI). The GFCI rates 87 financial...
View ArticleStock Exchange Of Thailand And Mutual Fund Participants Make Progress In Fund...
The Stock Exchange of Thailand (SET) and the alliances in the mutual fund industry have jointly developed a fund service platform to help broaden channel access of mutual fund efficiently. The new...
View ArticleCBOE Holdings Agrees To Acquire Bats Global Markets To Strengthen CBOE...
CBOE Holdings, Inc. (NASDAQ: CBOE) and Bats Global Markets, Inc. (Bats: BATS) today announced that they have entered into a definitive agreement, which has been approved by the Board of Directors of...
View ArticleCurveGlobal - Open Access Derivatives Venture Goes Live
CurveGlobal, the new interest rate derivatives venture developed by London Stock Exchange Group (LSEG) with a number of major dealer banks: Bank of America Merrill Lynch, Barclays, BNP Paribas, Citi,...
View ArticleThai Bourse To Revise Listing Criteria To Enhance Newly Listed...
The Stock Exchange of Thailand (SET) has amended the criteria for the new listing of securities on SET and Market for Alternative Investment (mai), aiming to enhance securities’ quality and increase...
View ArticleThai Alternative Bourse Highlights Role As Key Fundraising Source For SMEs
Market for Alternative Investment (mai) is committed to being a fundraising venue for small and medium-sized enterprises (SMEs). So far this year nine firms have been listed on mai, six more initial...
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