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SIX Exchange Regulation: Investigation Against Accu Holding Ltd

Date 16/01/2015

SIX Exchange Regulation initiates an investigation against Accu Holding Ltd on the grounds of possible breaches of the Listing Rules in connection with the share split dated 24 October 2014.
Treasury Committee: Bank Of England Foreign Exchange Market Investigation

Date 16/01/2015

The Treasury Committee questions Lord Grabiner following the publication of his independent report, requested by the Bank of England, investigating whether, between 2005 and 2013, any Bank of England official was involved in, or aware of, conduct issues in the foreign exchange market.
Japan's Financial Services Agency: Publication Of The Revised Edition Of Inspection Manual For Deposit-Taking Institutions

Date 16/01/2015

The Financial Services Agency (FSA) published the revised edition of “Inspection Manual for Deposit-Taking Institutions” in English that reflects all the revisions made since it was last published in 2011. Attachments including “Self-assessment” and “write-offs, allowances” that have not been translated into English in the past are now translated into English as well.
Shenzhen Stock Exchange: The First Record-Filing Product Gets Listed, Representing The Acceleration Of Asset Securitization Business

Date 16/01/2015

The CITIC Securities “2014 Public Welfare Microfinance Asset-backed Special Plan of CFPA (1stTranche)” has recently completed the prescribed filing procedures with Asset Management Association of China (AMAC), and will get listed on Shenzhen Stock Exchange (SZSE) on January 15 2015. This 3-year duration product, which is raising funds of RMB 500 million, takes the creditor’s rights of farmer microcredit issued by CFPA Microfinance Management Ltd. as underlying assets. Based on the characteristics of microcredit assets, the product adopts the circular buying structure with circular period of two years. Underlying assets are under real-time monitoring by managers through direct connection to business systems of originators.
SEC: Fee Rate Advisory #3 For Fiscal Year 2015

Date 15/01/2015

The Securities and Exchange Commission today announced that starting on Feb. 14, 2015, the fee rates applicable to most securities transactions will be set at $18.40 per million dollars.

Protecting Investors And Strengthening Market Integrity - IIROC Publishes Final Sanction Guidelines

Date 15/01/2015

The Investment Industry RegulatoryOrganization of Canada (IIROC) issued final Sanction Guidelines that set out general principles and key factors to be considered by hearing panels. Effective February 2, 2015, these guidelines will be applied to all disciplinary and settlement proceedings.
SEC Announces Charges Against Attorneys and Auditors in Microcap Scheme Involving Purported Mining Companies

Date 15/01/2015

The Securities and Exchange Commission today announced charges against attorneys, auditors, and others allegedly involved in a microcap scheme the agency stifled last year when it suspended the registration statements of 20 purported mining companies being used for sham offerings of stock to investors.
United States (U.S.) – European Union (EU) Financial Markets Regulatory Dialogue Joint Statement

Date 15/01/2015

Participants in the U.S.-EU Financial Markets Regulatory Dialogue (FMRD) met on January 12, 2014 to exchange information on regulatory developments as part of their ongoing dialogue, and discuss their strong cooperation and shared interests in continuing to implement and enforce robust standards, including those on the G-20 financial regulatory agenda. Recognizing the continued importance of U.S. and EU markets for the growth and stability of the international economy, participants welcomed the progress made by U.S. and EU authorities since the crisis to bolster the resilience of financial markets and reiterated their unswerving commitment to work together to advance financial regulatory reform in a consistent and convergent manner.
Deutsche Börse: Unscheduled Free Float Adjustment In SDAX

Date 15/01/2015

Deutsche Börse AG has announced an unscheduled adjustment to the free float of VTG AG in SDAX. The company’s free float changed by more than 10 percentage points, which was caused by a share increase due to an acquisition of another company as well as a significant change in the shareholder structure.
US Agencies Release Public Sections Of Resolution Plans

Date 15/01/2015

The Federal Reserve Board and the Federal Deposit Insurance Corporation (FDIC) today made available the public portions of resolution plans for firms with generally less than $100 billion in qualifying nonbank assets, as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).