News Centre

SGX Welcomes Xyec Holdings To Catalist

Date 18/09/2013

Singapore Exchange (SGX) is pleased to welcome the listing of Xyec Holdings Co., Ltd on Catalist under the stock code “5WR”.

Hong Kong's Securities and Futures Commission Suspends Former Responsible Officer Of China Securities Holdings Limited

Date 18/09/2013

The Securities and Futures Commission (SFC) has suspended Mr Wong Yip Chuen for a period of eight months from 18 September 2013 to 17 May 2014.

Shenzhen Stock Exchange: Notice On Coordinating Arrangements Of Differentiated Review Procedure Of Mergers And Acquisitions

Date 18/09/2013

In accordance with the arrangement of adopting differentiated review procedures, based on the CSRC’s Implementation Measures on Adopting Differentiated Review Procedures for Mergers and Acquisitions, SZSE has made the following announcement:

CFTC Seeks Public Comment On Request From CME Group To Amend Rule 538 (Exchange For Related Positions)

Date 17/09/2013

The Commodity Futures Trading Commission (CFTC) is requesting public comment on a request from the Chicago Mercantile Exchange Inc., the Board of Trade of the City of Chicago, Inc., New York Mercantile Exchange, Inc., Commodity Exchange, Inc., and the Board of Trade of Kansas City, Missouri, Inc. (collectively, the Exchanges), for approval of amendments to existing Rule 538 of the Exchanges’ rulebooks and the issuance of CME Group Market Regulation Advisory Notice RA1311-5.

SEC Charges 23 Firms With Short Selling Violations In Crackdown On Potential Manipulation In Advance Of Stock Offerings

Date 17/09/2013

The Securities and Exchange Commission today announced enforcement actions against 23 firms for short selling violations as the agency increases its focus on preventing firms from improperly participating in public stock offerings after selling short those same stocks.  Such violations typically result in illicit profits for the firms.

London Stock Exchange Signs Up 1,000 New Users In First Month As Pre-LOU

Date 17/09/2013

• New LEI codes allocated across 3 continents
• Wide range of corporates represented
• New bulk LEI allocation functionality assists larger firms

Exchanges Take A Dive

Date 17/09/2013

The world’s leading stock exchanges took a dive in share value during August, following over a year of almost continued steady growth, according to the FTSE Mondo Visione Exchanges Index released today.

Chi-X Canada Introduces Retail Market Data Program

Date 17/09/2013

Chi-X® Canada ATS Limited, a wholly owned subsidiary of alternative trading venue operator Chi-X® Global Holdings LLC, today announced it has contracted with consulting firm NuPont Canada Ltd. to assist in its efforts to introduce a new market data offering aimed at retail investors.

Changes To Warsaw Stock Exchange Management Board Approved

Date 17/09/2013

• On 17 September 2013, the Polish Financial Supervision Authority approved changes to the Exchange Management Board whereby Dariusz Kułakowski was appointed Management Board Member.

FINRA Issues New Investor Alert: Private Placements - Evaluate The Risks Before Placing Them In Your Portfolio

Date 17/09/2013

The Financial Industry Regulatory Authority (FINRA) issued a new investor alert called Private Placements—Evaluate the Risks before Placing Them in Your Portfolio to caution investors that investing in private placements is risky and can tie up their money for a long time. A private placement is an offering of a company's securities that is not registered with the Securities and Exchange Commission (SEC) and is not offered to the public at large. Many private placements are offered pursuant to Regulation D of the Securities Act of 1933. In general, you must be an "accredited investor" to invest in a private placement.