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  • Hong Kong's Securities And Futures Commission Resolves Compliance Concerns With Cheong Lee Securities Limited

    Date 09/01/2014

    The Securities and Futures Commission (SFC) has resolved its compliance concerns with Cheong Lee Securities Limited (Cheong Lee) (Note 1). Under the resolution, the SFC reprimands and fines Cheong Lee $2 million for internal control failures relating to self-matching transactions in breach of the SFC’s Code of Conduct (Note 2).

  • Dalian Commodity Exchange: Steady Operation, Brisk Trading Of “2 Boards” Futures In 1st Listing Month

    Date 09/01/2014

    By January 6, the contracts of blockboard and fiberboard, China’s first forestry futures products, had been listed smoothly and operated successfully for one month. In the month, the “two boards” futures saw brisk trading and steady operation, with the futures prices concerned and referenced by the enterprises and the role of the market in serving the industries emerging.
     

  • Statement On The Commission’s Issuance of Certain Exemptive Orders Related To Rule 17g-5(c)(1) - Commissioner Luis A. Aguilar, U.S. Securities and Exchange Commission[1]

    Date 08/01/2014

    Rule 17g-5(c)(1) (the “Rule”) of the Securities Exchange Act of 1934 addresses nationally recognized statistical rating organization (“NRSRO”) conflict of interest concerns by prohibiting an NRSRO from issuing a credit rating where the person soliciting the rating was the source of 10% or more of the total net revenue of the NRSRO during the most recently ended fiscal year.[2]  As noted by the Commission, this prohibition is necessary because such a person “will be in a position to exercise substantial influence on the NRSRO” and, as a result, “it will be difficult for the NRSRO to remain impartial, given the impact on the NRSRO’s income if the person withdrew its business.”[3]  The Commission also recognized that the intent of the prohibition “is not to prohibit a business practice that is a normal part of an NRSRO’s activities,” and that the Commission may evaluate whether exemptive relief would be appropriate.[4]

  • BM&FBOVESPA Announces 2013 Market Performance

    Date 08/01/2014

    BM&FBOVESPA has published the details of 2013 transactions. Check the highlights: in 2013, the BOVESPA segment set new historic records for total financial volume, average daily financial volume, total number of trades, and for average daily trading volume; the BM&F segment set a new record for the number of contracts traded and Real Estate Investment Funds set new records for financial volume and for the number of trades.

  • BOX Options Exchange January 2014 InBOX

    Date 08/01/2014

    This is the January issue of InBOX, your news source from inside the BOX Options Exchange. This monthly publication will provide convenient summaries of recent developments at BOX.

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