Mondo Visione Worldwide Financial Markets Intelligence

FTSE Mondo Visione Exchanges Index:

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  • 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.