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  • Monetary Authority Of Singapore: First Civil Penalty Enforcement Action For Failure To Disclose Shareholding Interests

    Date 17/01/2020

    The Monetary Authority of Singapore (MAS) has imposed a civil penalty of $200,000 on Mr Lim Soon Fang for not disclosing changes in, and providing false information regarding his shareholding in Asia-Pacific Strategic Investments Limited (ASIL) [1] . This is the first civil penalty action by MAS for breaches of shareholding disclosure requirements under Part VII of the Securities and Futures Act (SFA) since the civil penalty regime was extended to these contraventions in November 2012.

  • Shanghai Stock Exchange Reports On Dealing With SSE-Listed Companies’ Violations In Information Disclosure In 2019

    Date 17/01/2020

    In 2019, the Shanghai Stock Exchange (SSE) earnestly implemented the requirements of the Party Central Committee and the State Council for the reform and development of the capital market and the unified deployments of the China Securities Regulatory Commission (CSRC), focused on the primary goal of improving the quality of the listed companies, followed the principle of “achieving effectiveness by streamlining and refining administration” to make every effort in dealing with the violations in information disclosure, further tightened the responsibilities of the “key minorities” such as directors, supervisors and executives as well as major shareholders and actual controllers of the listed companies, and urged the listed companies and relevant responsible persons to keep in mind the “four awes (stand in awe of market, rule of law, expertise and investors)” and defend the “four bottom lines (not disclose fake information, not engage in insider trading, not manipulate stock prices and not harm the interests of listed companies)”. By punishing all kinds of market irregularities, cracking down on violations, maintaining the order of information disclosure, and protecting the interests of small and medium-sized investors, the SSE has strived to build a sound market environment.

  • Zhengzhou Commodity Exchange: Notice On Adjustment Of Nearby Non-Key Contract Trading Fee Rates For Cotton And 9 Other Futures

    Date 17/01/2020

    According to Article 27 of Detailed Rules for Futures Clearing of Zhengzhou Commodity Exchange, it is decided that starting from the trading on February 1, 2020 (the night trading session on January 31), for cotton and 9 other futures, the fee rates of contracts whose delivery months are within [N+2, N+5] (N is the current month), yet January, May and September are excluded, will be adjusted as follows.

  • CFTC Chairman Tarbert To Keynote At The Annual Meeting Of The American Bar Association’s Banking Law Committee

    Date 17/01/2020

    WHAT:

    Chairman Heath P. Tarbert will deliver the keynote address at the Annual Meeting of the American Bar Association’s Banking Law Committee

    WHEN:

    Friday, January 17, 2020
    8:30 a.m. (EST)

    WHERE:

    The Ritz-Carlton Hotel
    Salon I & II
    1150 22nd Street, NW
    Washington, DC 20037


  • Canadian Securities Regulators Publish Additional Guidance For Entities Facilitating The Trading Of Crypto Assets

    Date 16/01/2020

    The Canadian Securities Administrators (CSA) today published Staff Notice 21-327 Guidance on the Application of Securities Legislation to Entities Facilitating the Trading of Crypto Assets, to help these entities to determine situations where securities legislation may or may not apply.

  • Austin Gerig Named As SEC’s Chief Data Officer

    Date 16/01/2020

    The Securities and Exchange Commission today announced that it has named Austin Gerig as its Chief Data Officer. Dr. Gerig, currently Assistant Director of the Office of Data Science in the Division of Economic and Risk Analysis (DERA), will assume his new position on Feb. 3.

  • Statement On SEC Commissioner Robert J. Jackson, Jr.

    Date 16/01/2020

    Today, Commissioner Jackson, having completed his term, announced his intention to leave the SEC. On many occasions over the past two years, I and the Commission have benefited from substantive engagement with Commissioner Jackson on a range of issues important to our markets. 

  • CFTC Commissioner Stump To Speak On A Panel At The ABA Derivatives & Futures Law Committee Winter Meeting

    Date 16/01/2020

    WHAT:

    Commissioner Dawn D. Stump will participate in a panel discussion on international developments at the American Bar Association’s (ABA) Derivatives & Futures Law Committee Winter Meeting 2020

    WHEN:

    Friday, January 24, 2020
    11:55 a.m. (EST)

    WHERE:

    La Playa Beach and Golf Resort
    9891 Gulf Shore Drive
    Naples, FL 34108


  • SIFMA Statement On USMCA Trade Agreement

    Date 16/01/2020

    SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, applauding the Senate’s passage of the United States, Mexico and Canada Agreement (USMCA) and strongly supporting its adoption:

  • FTSE Russell Expands Climate Risk-Adjusted Government Bond Index Seriesries

    Date 16/01/2020

    • Standalone Climate European Government Bond Index ‘Climate EGBI’ now live
    • First time an index of sovereign debt from European Monetary Union (EMU) issuers has been adjusted for climate risk
    • Index follows the introduction of the FTSE Climate Risk-Adjusted World Government Bond Index ‘Climate WGBI’ in 2019
    • FTSE Russell’s climate risk coverage includes more than 50 developed and emerging market countries