News Centre

Japan's Financial Services Agency: Reforms Of On-Site Monitoring Following The Mizuho Bank Case

Date 27/12/2013

The Financial Services Agency (hereinafter referred to as the “FSA”) has been making reforms of its inspection under the new “Financial Monitoring Policy.” As part of the reforms, following the Mizuho bank case regarding its relations with anti-social forces, the FSA is determined to take the following measures.

American Bankers Association To File Lawsuit On Volcker Rule TruPS Provisions

Date 26/12/2013

The American Bankers Association has announced its intent to shortly file a lawsuit challenging the Volcker Rule’s trust preferred securities (TruPS) provisions, seeking emergency relief. 

SEC Charges New York-Based Brokerage Firm For Ignoring Red Flags In Soft Dollar Scheme

Date 26/12/2013

The Securities and Exchange Commission today announced sanctions against a New York-based brokerage firm for ignoring red flags and paying more than $400,000 in soft dollars for expenses that an investment adviser had not properly disclosed to clients. 

MIAX Options Exchange: Amendments To MIAX Rule 404 And 404A – Short Term And Quarterly Option Series

Date 26/12/2013

The Exchange has filed with the Securities and Exchange Commission amendments to MIAX Rules 404, Series of Option Contracts Open for Trading and 404A, Select Provisions of Options Listing Procedures Plan.

FINRA Fines Barclays $3.75 Million For Systemic Record And Email Retention Failures

Date 26/12/2013

The Financial Industry Regulatory Authority (FINRA) announced today that it fined Barclays Capital Inc. $3.75 million for systemic failures to preserve electronic records and certain emails and instant messages in the manner required for a period of at least 10 years.

Dubai Financial Market Closed On New Years Day

Date 26/12/2013

For the occassion of New Year 2014, DFM will be closed on Wednesday 01 January 2014  and work shall resume on Thursday 02 January 2014.

Moscow Exchange: Changes In Displaying Market Data From Classica And Standard In Vendors Terminals Since February 17, 2014

Date 26/12/2013

Moscow Exchange reminds that after migration to a new format of the Stock market data dissemination (more details at http://moex.com/n4346) since February 17, 2014:

• Bloomberg tickers for Standard (XXXXS RU Equity) and Classica (XXXX RU Equity) instruments will be retained only for reference purposes with note "Inactive" and without updating. The only historical data being still available for Standard and Classica will be limited with the period ended February 17, 2014.
• Thomson Reuters RICs for Standard (XXXXS.RTS) and Classica (XXXX.RTS) instruments will be retained only for reference purposes without updating. The only historical data being still available will be limited with the period ended February 17, 2014.

Publication Of The Draft Of The “Principles For Responsible Institutional Investors” - «Japan’s Stewardship Code»~To Promote A Sustainable Growth Of Companies Through Investments And Dialogues~

Date 26/12/2013

The Council of Experts Concerning the Japanese Version of the Stewardship Code(Chairman:Hiroyuki Kansaku, Professor of Graduate Schools for Law and Politics/Faculty of Law, The University of Tokyo) publishes the draft of “Japan’s Stewardship Code” and is calling for public comments in Japanese.

Shenzhen Stock Exchange: Q&As On Trading Mechanisms For IPO Shares On First Trading Day

Date 26/12/2013

The Shenzhen Stock Exchange (SZSE) recently released the Circular on Issues Concerning Temporary Trading Halt of IPO Shares on the First Trading Day (the “Circular”). In an interview with reporters, a senior officer of the SZSE answered questions regarding market concerns.

Dalian Commodity Exchange: Notice On Strengthening Risk Management During Market Closure On The New Year’s Day Of 2014

Date 26/12/2013

During the market closure on the New Year's Day of 2014 (January 1, 2014), the standards of the minimum trading margins for all contracts and the price limits of Dalian Commodity Exchange will remain unchanged. The member units are requested to effectively warn the clients of risks, strengthen the market risk prevention and ensure the stable operation of the market.