News Centre

New Zealand's Financial Markets Authority Contributory Mortgage Broker Pleads Guilty

Date 06/03/2014

Prudential Mortgage Limited, a contributory mortgage broking firm, has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013. Prudential pleaded guilty to the charge laid by the Financial Markets Authority (FMA).

Japan's Financial Services Agency: Exchange Of Letters On Co-Operation With The State Securities Commission Of Vietnam

Date 06/03/2014

• On March 5, 2014, the Financial Services Agency and the State Securities Commission of Vietnam exchanged letters on the sharing of their experience and expertise.

Shanghai Stock Exchange Key Work Arrangements For 2014 Released

Date 06/03/2014

First, the Shanghai Stock Exchange (SSE) will rationalize its work in terms of reform, innovation, transformation, and service. This requires the SSE to get prepared and carry out cooperation to support relevant issues involved in the reform of registration system for shares issuance, and accelerate construction of the SSE market in an innovative way. Besides, the SSE will promote innovation. Further, the SSE will conduct regulatory transformation, and promote transformation for both the market and itself. In addition, the SSE will improve the satisfaction degree of market participants according to market needs, in a bid to enhance its comprehensive and core competence.

Tokyo Commodity Exchange February 2014 Volume Averaged 89,529 Contracts Per Day, Up 9.3% Month-On-Month

Date 06/03/2014

The Tokyo Commodity Exchange announced today that average daily trading volume for February was 89,529 contracts, up 9.3% from January. Gold volume was up 25.7% to 35,827 contracts and Rubber rose 22.2% to 12,224 contracts. These contracts compensated for declines in Platinum, which fell 12.3% to 16,578 contracts and Crude Oil, which was down 10.4% to 3,009 contracts.

DFM - Announces The Resulotions Of Its AGM Held On 03 March 2014

Date 06/03/2014

Downloads:

 DFM_AGMRES_04_03_2014_0736AM_NN.pdf

Shanghai Stock Exchange Reduces Bond Nominal Value For Repayment On Installments

Date 06/03/2014

The Shanghai Stock Exchange (SSE) will conduct bond repayment on installments by reducing bond nominal value since today, with an aim to implement the requirement of the China Securities Regulatory Commission for developing the bond market, and improve efficiency of the business of bond repayment on installments.

TSX Markets Top 20 Largest Consolidated Short Position Report - February 28, 2014

Date 06/03/2014

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending February 28, 2014.

Direct Edge Trading Notice #14-09: Regulatory Transaction Fee Rate Adjustment Per SEC Section 31 Rate Change Effective Tuesday, March 18, 2014

Date 06/03/2014

Overview
This Circular is being issued to inform you that in Fee Rate Advisory #3 for Fiscal Year 2014, the SEC announced that effective Tuesday, March 18, 2014, the Section 31 transaction fee rate applicable to securities transactions on the exchanges and over-the-counter markets will increase to $22.10 per million dollars. Until that date, the current rate of $17.40 per million dollars will remain in effect. 

BOX Options Exchange Price Improvement Activity for February

Date 06/03/2014

In the month of February, price improved contracts on BOX Options Exchange averaged 107,060 per day.

US Agencies Issue Final Dodd-Frank Act Stress Test Guidance For Medium-Sized Firms

Date 05/03/2014

Three federal bank regulatory agencies are issuing final guidance describing supervisory expectations for stress tests conducted by financial companies with total consolidated assets between $10 billion and $50 billion.