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SFC Reprimands And fines Citigroup Global Markets Asia Limited $348.25 Million For Serious Regulatory Failures Over Client Facilitation Activities

Date 28/01/2022

The Securities and Futures Commission (SFC) has reprimanded and fined Citigroup Global Markets Asia Limited (CGMAL) $348.25 million for allowing various trading desks under its Cash Equities business to disseminate mislabelled Indications of Interest (IOIs) and make misrepresentations to institutional clients when executing facilitation trades from 2008 to 2018.
Hong Kong Securities And Futures Commission Reprimands And Fines Citigroup Global Markets Asia Limited $348.25 Million For Serious Regulatory Failures Over Client Facilitation Activities

Date 28/01/2022

The Securities and Futures Commission (SFC) has reprimanded and fined Citigroup Global Markets Asia Limited (CGMAL) $348.25 million for allowing various trading desks under its Cash Equities business to disseminate mislabelled Indications of Interest (IOIs) and make misrepresentations to institutional clients when executing facilitation trades from 2008 to 2018.
SIX Welcomes New Structured Product Issuer Swissquote

Date 28/01/2022

SIX welcomes Swissquote as the 23rd issuer for structured products at SIX Swiss Exchange. Swissquote adds to the unique product diversity for investors by listing a 13.00 % p.a. Callable Multi Barrier Reverse Convertible on Logitech and Temenos Group.
SGX Welcomes Alpina Holdings Limited To Catalist

Date 28/01/2022

Singapore Exchange (SGX) today welcomed Alpina Holdings Limited to its Catalist under the stock code “ZXY”.
Bursa Malaysia Reports FY2021 Profit After Tax And Zakat Of RM355 Million

Date 28/01/2022

Bursa Malaysia Berhad (“Bursa Malaysia” or the “Exchange”) recorded a Profit After Tax and Zakat (“PAT”) of RM355.3 million for the financial year ended 31 December 2021 (“FY2021”), a 6.0 percent decrease from the RM377.7 million reported in the previous financial year ended 31 December 2020 (“FY2020”). This is mainly due to lower operating revenue of RM751.6 million in FY2021 compared to RM778.8 million in FY2020, a decrease of 3.5 percent. The total operating expenses in FY2021 was lower by 1.1 percent at RM288.6 million against RM291.8 million in FY2020.

Borsa Istanbul: Uptick Rule Will Be Applied In The Session Dated 28 January 2022 In The Equity Market

Date 28/01/2022

It has been decided that the up-tick rule in short selling transactions to be valid for one day during the session dated 28 January 2022. Please click for the related Announcement.
Canadian Securities Regulators Adopt Amendments To National Instrument 94-101

Date 27/01/2022

The Canadian Securities Administrators (CSA) today announced amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives (NI 94-101) and changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives.
Measuring Pay Against Performance: Are Shareholders Getting Their Money’s Worth? SEC Commissioner Allison Herren Lee, Jan. 27, 2022

Date 27/01/2022

Financial incentives drive how executives perform in their role as fiduciaries to companies and their shareholders. Understanding what those incentives are and whether they are actually working – that is, if and how they link to company performance – is critical for investors in evaluating a company’s compensation practices.
ISDA - Transition To RFRs Review: Full Year 2021 And The Fourth Quarter Of 2021

Date 27/01/2022

The Transition to Risk-free Rates (RFRs) Review analyzes the trading volumes of over-the-counter (OTC) and exchange-traded interest rate derivatives (IRD) that reference selected alternative RFRs, including the Secured Overnight Financing Rate (SOFR), the Sterling Overnight Index Average, the Swiss Average Rate Overnight, the Tokyo Overnight Average Rate, the Euro Short-Term Rate and the Australian Overnight Index Average.
Kristin Snyder, Deputy Director Of Division Of Examinations, To Leave SEC

Date 27/01/2022

The Securities and Exchange Commission today announced that Kristin Snyder, Deputy Director of the Division of Examinations (EXAMS), is leaving the agency at the end of this month after more than 18 years of service. Joy Thompson has been named Acting Deputy Director and Acting Associate Director of the Private Funds Unit, and Natasha Vij Greiner has been named Acting Co-National Associate Director of the Investment Adviser/Investment Company (IA/IC) Examination Program.