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  • Circular On Self-Regulatory Measures Taken By CFFEX In November 2023

    Date 08/12/2023

    To prevent market risks, maintain orderly operation of the market and protect investors’ legitimate rights and interests, China Financial Futures Exchange (CFFEX) took the following self-regulatory measures against violations of exchange rules in November 2023.

  • Shanghai Futures Exchange: Notice On Investigation And Penalties For Violations Of Relevant Rules And Regulations In November 2023

    Date 08/12/2023

    Shanghai Futures Exchange (hereinafter referred to as “The Exchange”) has been on continuous efforts in investigating and penalizing violations of relevant rules and regulations, so as to strengthen the risk management of the futures market, regulate the futures trading activities and protect the legitimate rights and interests of futures market participants.

  • Japan Securities And Exchange Surveillance Commission: Recommendation For Administrative Monetary Penalty Payment Order For Market Manipulation In Shares Of PACIFIC METALS CO., LTD. And Other Securities By An Individual Residing Abroad

    Date 08/12/2023

    1. Contents of the Recommendation

    The Securities and Exchange Surveillance Commission, today, made a recommendation to the Prime Minister and the Commissioner of the Financial Services Agency that an administrative monetary penalty payment order be issued in regard to market manipulation in shares of PACIFIC METALS CO., LTD. and other securities by an individual residing abroad pursuant to Article 20(1) of the Act for Establishment of the Financial Services Agency. This recommendation is based on the findings of an investigation into market manipulation, whereby the following violation of laws and ordinances was identified.

  • CFFEX: Notice On Issues Related To The Delivery Of Equity Index Futures And Options Contracts

    Date 08/12/2023

    Pursuant to the Trading Rules of China Financial Futures Exchange and relevant detailed implementation rules, the last trading day of a CSI 300 Index futures, SSE 50 Index futures, CSI 500 Index futures, CSI 300 Index options, CSI 1000 Index futures, CSI 1000 Index options, and SSE 50 Index options contract is the third Friday of the expiry month. Where the last trading day is a public holiday or trading of that contract is suspended on that day for extraordinary situations or other reasons, the last trading day shall be postponed to the following trading day. Accordingly, the last trading day of IF2312, IH2312, IC2312, IO2312(CSI 300 Index options contracts expiring in December 2023), IM2312,MO2312(CSI 1000 Index options contracts expiring in December 2023),and HO2312(SSE 50 Index options contracts expiring in December 2023) is December 15, 2023.

  • ASIC: ANZ To Pay $900,000 Penalty For Continuous Disclosure Failure

    Date 08/12/2023

    The Federal Court has today ordered Australia and New Zealand Banking Group Limited (ANZ) to pay a penalty of $900,000 for breaching its continuous disclosure obligation during a $2.5 billion institutional share placement in 2015.