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Hong Kong's Securities And Futures Commission Issues First-Quarter Report

Date 20/08/2014

The Securities and Futures Commission (SFC) today published its Quarterly Report summarising key developments from April to June 2014.
Dalian Commodity Exchange Holds 2nd Forum On Futures Legal Theories And Practices

Date 20/08/2014

On August 14, Dalian Commodity Exchange (DCE) held the “Second Forum on Futures Legal Theories and Practices” in Dalian. More than 20 representatives from the NPC Financial and Economic Committee, the China Securities Regulatory Commission (SCRC), the relevant local courts, public security organs, arbitration institutions, law firms and other units compared notes on the legislative work in futures, how to deal with the violation cases on the futures market and other issues.
ISDA/FIA Europe Submission On The ESMA Clearing Obligation For Interest Rate Derivatives CP

Date 19/08/2014

The International Swaps and Derivatives Association ("ISDA") and FIA Europe welcome this opportunity to respond to the consultation paper on the draft regulatory technical standards ("RTS") establishing a clearing obligation on certain interest rate OTC derivative classes.
ESMA Publishes Responses Received To First Consultation Paper On Clearing Obligation

Date 19/08/2014

The responses received to the Consultation paper on Clearing Obligation no1 IRS are available here.
FTSE Group Launches Ex Russia Indices

Date 19/08/2014

In response to Client demand following the recent activity of US and EU sanctions, FTSE has launched a set of new FTSE ex Russia indices. The indices have been created for research and analysis, and as a basis for investment products.

NASDAQ OMX Lists First Trust Strategic Income ETF - Provides Financial Advisors With An Innovative Approach To Generating Income

Date 19/08/2014

NASDAQ OMX today announced that First Trust listed a new exchange-traded fund (ETF) which began trading on Thursday, August 14, 2014. First Trust Strategic Income ETF (Nasdaq:FDIV), listed on The NASDAQ Stock Market® (NASDAQ®).
New York State Department Of Financial Services' Consent Order Relating To Standard Chartered

Date 19/08/2014

Following on from its disclosure of 6th August 2014, Standard Chartered (“the Group”) announces it has reached a final settlement with the New York State Department of Financial Services (“DFS”) regarding deficiencies in the anti-money laundering transaction surveillance system at its New York branch.
NYSE Member Firms Report Second-Quarter Results

Date 19/08/2014

New York Stock Exchange member firms that conduct business with the public reported a second-quarter 2014 after-tax profit of $2.2 billion and revenues of approximately $43.15 billion, compared with a $3.47 billion after-tax profit on revenues of about $43.74 billion in the first-quarter of 2014.
CFTC Staff Issues Time-Limited, Conditional No-Action Relief Regarding Documentation Of Confirmations Of Uncleared Swap Transactions

Date 19/08/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Market Oversight (DMO) recently issued a no-action letter providing swap execution facilities (SEFs) time-limited, conditional relief from certain data reporting and recordkeeping requirements in relation to confirmations required for uncleared swap transactions executed on or pursuant to the rules of a SEF under Commission regulation 37.6(b). The no-action relief provided will expire at midnight (EDT) on September 30, 2015.
New York State Department of Financial Services Announces Standard Chartered Bank To Suspend Dollar Clearing For High-Risk Clients In Hong Kong - Pay $300 Million Penalty - Take Other Remedial Steps After Anti-Money Laundering Compliance Failures

Date 19/08/2014

Benjamin M. Lawsky, Superintendent of Financial Services, announced an order today regarding Standard Chartered Bank's ("SCB") failures to remediate anti-money laundering compliance problems as required in the Bank's 2012 settlement with the New York State Department of Financial Services (NYDFS).