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ASIC: Etrade Australia Securities Limited Pays $65,000 Infringement Notice Penalty

Date 09/12/2015

Etrade Australia Securities Limited (Etrade) has paid a penalty of $65,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The MDP found it had reason to believe that Etrade had contravened subsection 798H(1) of the Corporations Act 2001(Corporations Act) by failing to comply with a ASIC market integrity rule (ASX Market) regarding the market for a Product not being both fair and orderly.
Stock Exchange Of Thailand: Relocation Notice

Date 09/12/2015

With effect from 4th January 2016, The Stock Exchange of Thailand’s (SET) office, including its subsidiaries, will be fully conducted at the new building following below address and new main telephone numbers.
ASIC: Australian Investment Exchange Limited Pays $130,000 Infringement Notice Penalty

Date 09/12/2015

Australian Investment Exchange Limited (AUSIEX) has paid a penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP).
TOCOM Dubai Crude Oil Futures Volume Hit All-Time Record

Date 09/12/2015

The Tokyo Commodity Exchange, Inc. announced yesterday that Dubai Crude Oil futures trading volume reached 55,388 contracts, the highest since its launch on September 10, 2001. The record was renewed for the two consecutive days and it is the first time for the contract’s daily volume to exceed 50,000 lots. Open interest for Dubai Crude Oil futures marked the highest on December 4, 2015 at 58,741 contracts.
US Justice Department Announces Aargauische Kantonalbank Reaches Resolution Under Swiss Bank Program

Date 08/12/2015

The Department of Justice announced today that Aargauische Kantonalbank (AKB) reached a resolution under the department’s Swiss Bank Program.

Statement Regarding Repeal Of Indemnification Requirement, SEC Commissioner Michael S. Piwowar

Date 08/12/2015

I applaud Congress and President Obama for repealing the Dodd-Frank Act’s security-based swap data repository indemnification requirement as part of the recent transportation infrastructure bill. This bipartisan, common-sense reform is long overdue. SEC staff publicly called for the removal of this provision in testimony before Congress in 2012, and that call was subsequently joined by a number of market participants and regulators, including former SEC Chairman Elisse Walter and at least one liberal advocacy group.
EBA Acknowledges Report By ENISA On Cloud Services In The EU Banking Sector

Date 08/12/2015

Following a workshop on cloud services in the banking sector jointly hosted with the European Banking Authority (EBA) in London, the European Network and Information Security Agency (ENISA) has issued a report including a number of recommendations for the secure adoption of cloud computing in the banking sector at the EU level.
CFTC Divisions Issue Extension Of Time-Limited No-Action Relief From Certain Recordkeeping Requirements Under Commission Regulations

Date 08/12/2015

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight and Division of Market Oversight today issued a no-action letter extending the relief in CFTC Staff Letter No. 14-147 (Letter 14-147), which is set to expire on December 31, 2015.
EBA Benchmarks Approaches On Scenarios In Recovery Plans

Date 08/12/2015

The European Banking Authority (EBA) published today a comparative report on the approaches taken by a sample of European banking groups on scenarios in recovery plans. This benchmarking exercise is aimed at supporting national competent authorities and institutions by providing them with an overview of how scenarios included in recovery plans have been developed so far.
EBA Launches Consultation On FINREP Using IFRS 9

Date 08/12/2015

The European Banking Authority (EBA) launched today a consultation on the reporting of financial information for institutions using IFRS (FINREP IFRS). The proposed amendments follow the finalisation of IFRS 9 by the IASB in July 2014 and aim at collecting early industry views on changes that IFRS 9 would trigger to FINREP. This consultation is distinct from the on-going IFRS 9 endorsement process and does not relate to financial information reported by institutions using national generally accepted accounting practices (GAAP). The consultation will run until 8 March 2016.