ASIC: Macquarie Investment Management Penalised Over Corporations Act...
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...
View ArticleHong Kong's Securities And Futures Commission Reprimands And Fines Morgan...
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...
View ArticleASIC Bans Former Macquarie Adviser Sarah Kate Gardner
ASIC has banned Sarah Kate Gardner, of Mooloolaba, Queensland, from providing financial services for one year.read more...
View ArticleMoscow Exchange: Risk Parameters For Bond
This bond will be transferred to the partial collateral from August 25, 2016. From this date on, the following risk parameters will be applied:read more...
View ArticleASIC Bans Former Macquarie Adviser Anthony Jason Sourris
ASIC has banned Anthony Jason Sourris, of Kenmore, Queensland, from providing financial services for two and a half years.read more...
View ArticleSettrade Kicks Off âSettrade Digital Investment Dayâ
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...
View ArticleTMX Group: Unlocking Growth Opportunities For Canadaâs Innovation...
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...
View Article24Aug/Housing collateral and small firm activity in Europe
We investigate the importance of the housing-based collateral lending channel on firm borrowing, investment and employment. We focus on small firms in France, Italy, Spain and the United Kingdom. To...
View ArticleTehran Stock Exchange's First Building And Construction Fund Listed
Narvan building and construction fund was admitted to be listed at Tehran Stock Exchange.read more...
View ArticleMalta Stock Exchange Newsletter Q2 2016
Click here to download the second edition of the Malta Stock Exchange newsletter.
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Superman and Stocks: It's not the Cape (CAPE), it's the Kryptonite(Cash flow)!
Just about a week ago, I was on a 13-hour plane trip from Tokyo to New York. I know that this will sound strange but I like long flights for two reasons. The first is that they give me extended...
View ArticleSEC Charges 71 Municipal Issuers In Muni Bond Disclosure Initiative
The Securities and Exchange Commission today announced enforcement actions against 71 municipal issuers and other obligated persons for violations in municipal bond offerings. read more...
View ArticleMGEX Records Daily Top 15 Volume Records
MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reports a total volume of 19,109 from Tuesday, making it the 13th-best day in MGEX’s 135-year history. Electronic...
View ArticleUnited Kingdom Parliament Treasury Committee Update: Response From Tim...
The Treasury Committee publishes a response from Tim Parkes, Chairman of the Financial Conduct Authority's (FCA) Regulatory Decisions Committee (RDC), to a request by the Committee for information on...
View ArticleOslo Børs: Harald Espedal Resigns From Board Positions
Attention is drawn to the Oslo Børs press release of 24 August in which it is announced that the Board of Directors of Oslo Børs has resolved to impose a violation charge on Sandnes Sparebank for a...
View ArticleUnited Kingdom Parliament Treasury Committee Update: Gilt Market Liquidity
Letter from Dr Mark Carney, Governor, Bank of England, regarding gilt market liquidity, dated 18 December 2015read more...
View ArticleSIFMA Market Close Recommendation For Labor Day In The U.S., The UK And Japan
SIFMA has confirmed its previous holiday recommendation for a full market close on Monday, September 5 for the trading of U.S. dollar-denominated fixed-income securities in the U.S., the UK, and Japan...
View ArticleIIROC Consolidated Enforcement Rules Take Effect September 1
The Investment Industry Regulatory Organization of Canada's (IIROC's)new Consolidated Rules, approved earlier this year by the Canadian Securities Administrators, will take effectSeptember 1, 2016.read...
View ArticleSIFMA Statement On SEC MCDC Enforcement Action
SIFMA today released the following statement from Kenneth E. Bentsen, Jr., president and CEO of SIFMA, on the MCDC enforcement action announced today by the Securities and Exchange Commission:read more...
View ArticleCBOE Risk Management Conference Europe 2016 - CBOE To Host 5th Annual CBOE...
Chicago Board Options Exchange® (CBOE®) will host the 5th annual CBOE Risk Management Conference (RMC) Europe, Monday, September 26 through Wednesday, September 28, 2016, at the Powerscourt Hotel in...
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