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Traiana Expands TR Connect Regulatory Offering

Date 12/11/2014

Traiana, the leading provider of pre trade risk and post trade processing solutions, announces that TR Connect, its multi-jurisdictional regulatory reporting service, has been further enhanced to help firms meet the challenges of regulatory reporting on a global basis.
SWIFT Addresses The Know Your Customer’s Customer Compliance Challenge - New ‘SWIFT Profile’ Is The First In A Series Of Additional Value-Added Know Your Customer Services Linked To The KYC Registry

Date 12/11/2014

SWIFT announces the development of the SWIFT Profile, a unique report that provides a global overview of an institution’s correspondent banking activities, which banks can share at their own discretion. The new service will be available in January 2015 and forms part of SWIFT’s Know Your Customer (KYC) offering, which is designed to address the growing KYC challenge for banks.
EEX Expands Trade Registration Offering With CLTX Freight Contracts

Date 12/11/2014

The European Energy Exchange (EEX) will launch Trade Registration services for products that are listed on its subsidiary Cleartrade Exchange (CLTX) in January 2015. As a first step, EEX will introduce futures on freight contracts.
Bank of England: Oversight Committee Publishes Report On Role Of Bank Officials In Relation To Conduct Issues In The Foreign Exchange Market

Date 12/11/2014

The Oversight Committee has today published an independent report by Lord Grabiner QC. This follows his investigation into whether, between 2005 and 2013, any Bank of England official was involved in, or aware of, conduct issues in the foreign exchange (FX) market.
Clearstream: Liquidity Alliance Implements Next Generation Of Customer Connectivity

Date 12/11/2014
- The new portal will enable customers of the Liquidity Alliance members to benefit from significant enhancements which will further increase their collateral efficiency
- Liquidity Alliance member Cetip from Brazil will act as a pilot for the entire Liquidity Alliance and has scheduled the implementation for November 2014
- ASX (Australia), Clearstream (Luxembourg and Germany), Iberclear (Spain) and Strate (South Africa) are part of the subsequent roll-outs

Thai Bourse Market Report For October 2014

Date 12/11/2014
- Daily average trading value up 29 pct year-on-year to USD 1.53 bln
- Market cap at USD 437 bln, down slightly from end-September
- Derivatives trading down 6.62 percent m-o-m to 184,181 contracts per day
- Foreign investors sold a net USD 497 mln in October
UBS Sees Strong Support For Its Share-For-Share Exchange Offer – Reduces Minimum Acceptance Condition And Extends Initial Acceptance Period

Date 12/11/2014

UBS and UBS Group announced today that based on a preliminary count, a total of 86.55% of UBS shares have been tendered into UBS Group AG’s share-for-share exchange offer. UBS Group AG has reduced the minimum acceptance condition to 66.67% and has extended the initial acceptance period of its share-for-share exchange offer to 20 November 2014.
Barclays Statement In Response To Foreign Exchange Settlement Announcement

Date 12/11/2014

"Barclays has engaged constructively with its regulators, including the UK Financial Conduct Authority (FCA), and the US Commodity Futures Trading Commission (CFTC), in this round of settlement discussions, and has considered a settlement from these agencies on closely similar terms to those announced this morning.

"However, after discussions with other regulators and authorities, we have concluded that it is in the interests of the company to seek a more general coordinated settlement."
FINMA Sanctions Foreign Exchange Manipulation At UBS

Date 12/11/2014

The Swiss Financial Market Supervisory Authority FINMA has concluded enforcement proceedings against UBS AG (UBS) regarding foreign exchange trading conducted in Switzerland. FINMA found that over an extended period of time the bank's employees in Zurich at least attempted to manipulate foreign exchange benchmarks. In addition, employees acted against the interests of their clients. Risk management, controls and compliance in foreign exchange trading were insufficient. By breaching control requirements and owing to the misconduct of its employees, UBS severely violated the requirements for proper business conduct. Alongside the imposition of other corrective measures, FINMA has ordered UBS to disgorge a total of CHF 134m. It has also initiated enforcement proceedings against eleven persons involved in the case.
Thai Bourse Joins Federation Of Thai Industries To Strengthen Companies Towards AEC

Date 12/11/2014

The Stock Exchange of Thailand (SET) signed a memorandum of understanding (MOU) with The Federation of Thai Industries (FTI) to strengthen capabilities of Thai companies and prepare them to list on SET and Market for Alternative Investment (mai), and in turn boosting business opportunities via the capital market for the upcoming ASEAN Economic Community (AEC).