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ASIC In 2014: Areas Of Focus And Expected Changes To The Regulatory Landscape - A Speech By Greg Medcraft, Chairman, Australian Securities And Investments Commission, To The Governance, Risk And Compliance (GRC) Conference, 31 October 2013.

Date 31/10/2013

Introduction

Speech By Song Liping, President & CEO Of Shenzhen Stock Exchange, At The 6th China-Wuhan Finance Expo

Date 31/10/2013

Distinguished guests, ladies and gentlemen,

Since the beginning of this year, following the policy line of further deepening reforms and promoting industrial upgrading set by the central government, we have witnessed positive changes. The endogenous power of economic growth has been strengthened, while market expectation and public confidence in accelerating economic development pattern transformation has gradually been formed. We have come to a new starting point where advancing financial reform innovations and supporting the real economy for a new leap becomes the focal issue, gaining wide attention and consideration from all social sectors. 

SIFMA Submits Comments On Credit Risk Retention

Date 30/10/2013

In comments submitted to federal regulators in response to the re-proposed rulemaking on credit risk retention, SIFMA expresses support for many of the changes that have been made to the proposed rules in response to comments received on the original proposals. SIFMA finds that the re-proposal, in many respects, represents a significant improvement over the original proposals in terms of preserving the ability of securitization to support access to mortgage, consumer, and business credit.

CFTC Announces Mutual Acceptance Of Approved Legal Entity Identifiers

Date 30/10/2013

The U.S. Commodity Futures Trading Commission (CFTC) announced in a Notice posted on the CFTC.gov website on October 30, 2013, that registered entities and swap counterparties subject to CFTC swap data recordkeeping and reporting regulations concerning Legal Entity Identifiers (LEIs) can now comply with those regulations by using any LEI issued by an LEI provider endorsed by the Regulatory Oversight Committee (ROC) of the global LEI system. This includes the CFTC Interim Compliant Identifiers (CICIs) issued by the CICI Utility operated by DTCC-SWIFT, the provider of LEIs designated by CFTC.

MIAX Options Exchange Extension Of The Priority Customer Rebate Program To November 30, 2013

Date 30/10/2013

The MIAX Regulatory Circular, MIAX_RC_2013-61, refers to the extension of the MIAX Options Exchange Priority Customer Rebate Program (the “Program”) to November 30, 2013.  The MIAX Options Fee Schedule is posted on the MIAX website at http://www.miaxoptions.com/content/fees.

CFTC Commitments Of Traders Reports Update

Date 30/10/2013

The current reports for the week of October 15, 2013 are now available.

Amendment To The MIAX Market Maker Transaction Fees Beginning November 1, 2013

Date 30/10/2013

The MIAX Regulatory Circular, MIAX_RC_2013-62, refers to the MIAX Options Exchange amendment to the MIAX Market Maker transaction fees beginning Friday, November 1, 2013.  The MIAX Options Fee Schedule is posted on the MIAX website at http://www.miaxoptions.com/content/fees.

CFTC’s Division Of Market Oversight Extends Time-Limited No-Action Relief To Australian-Based Trading Platform Yieldbroker Pty Limited

Date 30/10/2013

The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) today announced the issuance of a no-action letter extending time-limited relief for Australian-based trading platform Yieldbroker Pty Limited (Yieldbroker). DMO will not recommend that the Commission take enforcement action against Yieldbroker for failure to register as a swap execution facility (SEF) under section 5h(a)(1) of the Commodity Exchange Act (Act) or Commission Regulation 37.3(a)(1), or against any market participants for use of, or other relationships with, Yieldbroker, for an additional period expiring on December 1, 2013. This letter extends the time-limited relief previously provided by DMO in CFTC Letter No. 13-59, which was issued on September 30, 2013.

SEC Rewards Whistleblower With $150,000 Payout

Date 30/10/2013

The Securities and Exchange Commission today announced an award of more than $150,000 to a whistleblower whose tips helped the agency stop a scheme that was defrauding investors. 

Opening Statement Of CFTC Chairman Gary Gensler: Open Meeting To Consider Customer Protection Reforms

Date 30/10/2013

Good morning. This meeting will come to order. This is a public meeting of the Commodity Futures Trading Commission (CFTC). I’d like to welcome members of the public, market participants and members of the media, as well as those listening to the meeting on the phone or watching the webcast.