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Financial Services: Additional Legislative Proposal To Complete The Framework For Financial Supervision In Europe

Date 19/01/2011

Following the launch of the three new European Supervisory Authorities on 1 January 2011 (MEMO/11/1), the Commission now proposes to make targeted changes to legislation in the area of insurance and securities regulation to e
UBS: Dr. Marcus Overhaus Hired As Head Of Global Equities Structuring And Co-Head Of Securities Structuring

Date 19/01/2011

Dr. Marcus Overhaus joins from Deutsche Bank as UBS's Head of Global Equity Structuring and Co-Head of Securities Structuring. Marcus has joined as a Managing Director based in London. In his new role Marcus will drive the expansion of our global structured equity and securities derivatives offerings, reporting to Yassine Bouhara (Joint Global Head of Equities), Francois Gouws (Joint Global Head of Equities) and Roberto Hoornweg (Global Head of Securities Distribution). Bringing over 18 years of
Taiwan Futures Exchange (TAIFEX) Monthly Newsletter- January 2011

Date 19/01/2011

Click here to download the TAIFEX January Newsletter.
Euroclear Bank To Offer Post-Trade Services For Brazilian Securities

Date 19/01/2011

Euroclear Bank announces today the launch on 31 January of settlement, custody and related post-trade services for all Brazilian equities and domestic fixed-income securities. Transactions in these securities will be sent to Euroclear Bank’s local agent for processing in one of the three Brazilian central securities depositories (CSDs).
CFTC: Interagency Working Group Releases Carbon Oversight Study

Date 19/01/2011

A Federal interagency working group led by the Commodity Futures Trading Commission (CFTC) yesterday released a report on the oversight of existing and prospective carbon markets, fulfilling a requirement established in Section 750 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act requires the group to “conduct a study on the oversight of existing and prospective carbon markets to ensure efficient, secure, and transparent carbon markets, including oversight of sp

Thai Bourse Amends Approach For Listed Companies Facing Possible Delisting To Meet Regional Standard, Starting Jan 26

Date 19/01/2011

The Stock Exchange of Thailand (SET) has changed its listed companies’ regulations to match regional standards; it will benefit both listed companies and their shareholders. The changes are on the approach for listed companies facing possible delisting due to operations and financial conditions to resolve within a maximum of 4 years period.
UK's Financial Services Authority Fines And Bans Two Partners Of Clark Rees LLP £28,000 For Advice Failings In Relation To Unregulated Collective Investment Schemes (UCIS)

Date 19/01/2011

The Financial Services Authority (FSA) has fined and banned the two partners of the investment firm Clark Rees LLP for failing to ensure the firm made suitable recommendations to its customers regarding Unregulated Collective Investment Schemes (UCIS). Paul Clark was fined £10,500 and Ceri Rees was fined £17,500. They have been banned from performing senior roles and also from selling UCIS to customers for two years.
FFastFill And Newedge Announce Connectivity To Four Chinese Futures Exchanges

Date 19/01/2011

FFastFill plc (LSE AIM: FFA), the leading provider of Software as a Service (“SaaS”) to the global derivatives community, today announces in partnership with Newedge that it has established connectivity via its SaaS platform to the Chinese futures markets.
Joint Statement - Clarification By Bombay Stock Exchange And Singapore Exchange

Date 19/01/2011

Bombay Stock Exchange (BSE) and Singapore Exchange (SGX) clarify that that the news reports today about BSE planning to take legal actions against SGX are inaccurate and without basis.
John Serocold Joins ICMA To Lead Its Secondary Market Practice Activities

Date 19/01/2011

The International Capital Market Association (ICMA), which represents capital market participants globally, is pleased to announce that John Serocold has joined its Regulatory Policy and Market Practice team to lead ICMA’s work on secondary market practice.