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HKEx: Exchange Transfers Regulatory Oversight Of RUSAL To SFC

Date 24/12/2013

The Stock Exchange of Hong Kong Limited (the Exchange), a wholly owned company of Hong Kong Exchanges and Clearing Limited (HKEx), has transferred its regulatory powers and responsibilities over United Company RUSAL Plc (RUSAL) (stock code: 486) to the Securities and Futures Commission (SFC) as a consequence of RUSAL advising it was contemplating judicial review proceedings* against the London Metal Exchange (LME), also a wholly owned subsidiary of HKEx, in relation to LME’s decision to introduce changes to its warehousing policy.
Osaka Securities Exchange Change In Trade Name

Date 24/12/2013

Osaka Securities Exchange hereby announce that the exchange will change itstrade name as follows.
Shanghai Stock Exchange: Q&A On Online Subscription Business Of IPO-Related Shares On Shanghai Market

Date 24/12/2013

On December 13, the Shanghai Stock Exchange (SSE) and China Securities Depository and Clearing Corporation Limited (CSDC) jointly released the “Measures on Online Subscribing for IPO-related Shares according to Market Capitalization on Shanghai Market” (the “Measures” for short). An official of the SSE answered the following questions concerning the “Measures”.
Shenzhen Stock Exchange Market Bulletin 23 December, 2013 - Issue 29

Date 24/12/2013

Last week, Shenzhen Component Index closed at 7966.7 points after losing 5.5%. SME Index fell 3.4% to 4879.1 points. ChiNext Index dropped 1.9% to 1253.7 points. Total turnover for stocks and funds on SZSE was US$69.6 billion, or a 12.6% decrease from the week before.
Montréal Exchange Christmas Holiday Market Hours

Date 24/12/2013

Interest rate derivative trading will cease at 1:30 p.m. and equity, currency, index and ETF derivative trading will cease at 1:00 p.m. today, December 24, 2013. Furthermore, the Exchange's offices and markets will be closed on December 25 and 26, 2013 (Christmas Day and Boxing Day).

CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Relief Regarding Introducing Brokers’ Compliance With Certain Financial Reporting And Capital Computation Requirements

Date 23/12/2013

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter that provides relief for certain Introducing Brokers (IBs) registered with the Commission from certain financial reporting and capital computation requirements. Part of the no-action relief is time-limited to newly registered IBs for the fiscal years ending on or before December 31, 2013.
CFTC’s Division Of Market Oversight Provides Conditional No-Action Relief From Limitations On Execution Methods For Required Transactions That Involve Basis Risk Mitigation Services Provided By A SEF

Date 23/12/2013

The U.S. Commodity Futures Trading Commission’s (CFTC or Commission) Division of Market Oversight (DMO) today announced the issuance of a no-action letter providing swap execution facilities (SEFs) relief, under certain conditions, in connection with a SEF’s provision of certain “basis risk mitigation services,” i.e., a service that manages the basis risk from reference price quarterly re-pricing timing mismatches on swaps. DMO notes that the Commission previously determined that entities providing “risk mitigation services” must register as SEFs because they meet the definition of a SEF in Section 1a(50) of the Commodity Exchange Act (CEA).
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Relief Regarding Swaps Entered Into By Persons Registered As Floor Traders

Date 23/12/2013

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter that provides relief from certain conditions of the swap dealer exclusion for registered floor traders. Specifically, the no-action letter provides relief from the aggregation requirement of Commission Regulation 1.3(ggg)(4)(i) and certain conditions under Regulation 1.3(ggg)(6)(iv) that, if met, permit a floor trader, and/or the affiliate of a floor trader, to exclude swaps from the aggregate gross notional amount of swap transactions for purposes of the determining whether such person meets the swap dealer definition.
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues Advisory Concerning Commodity Trading Advisors And Swaps

Date 23/12/2013

The U.S. Commodity Futures Trading Commission’s (CFTC or Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued an advisory that provides guidance regarding requirements imposed on commodity trading advisors (CTAs) resulting from the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
DTCC Automates Instruction Messaging For Corporte Actions Processing - DTCC Begins Testing ISO 20022 Inbound Instruction Messages

Date 23/12/2013

Adding greater accuracy and efficiency to Corporate Actions processing for its clients, The Depository Trust & Clearing Corporation (DTCC) announced today that it received its first inbound electronic message using ISO 20022, the global industry standard for financial messaging. This first automated instruction message was received from Interactive Brokers through DTCC’s Depository Trust Company (DTC) subsidiary.