News Centre

CFFEX Amends Measures On Dealing With Violations And Breaches

Date 19/11/2021

To further improve self-regulation in the financial futures market and strengthen the investigation and handling of violations and breaches, China Financial Futures Exchange (CFFEX) released the amended Measures of China Financial Futures Exchange on Dealing with Violations and Breaches (the “Measures”) on November 19, which improved and adjusted provisions on application scopes, violation acts, and handling measures. The Measures will take effect on the day of release.

Shanghai International Energy Exchange Has Released Its Circular On Releasing The Revised Enforcement Rules Of The Shanghai International Energy Exchange

Date 19/11/2021

Shanghai International Energy Exchange has released its Circular on Releasing the Revised Enforcement Rules of the Shanghai International Energy Exchange as follows:

The revised Enforcement Rules of the Shanghai International Energy Exchange has been reviewed and adopted by the Board of Directors of Shanghai International Energy Exchange (INE), and reported to China Securities Regulatory Commission. These rules are hereby released and shall take effect since January 1st, 2022.

Moscow Exchange: Risk Parameters Changes For The securities MGNT And INTU-RM

Date 19/11/2021

Please follow the links below to access the information:

Risk parameters change for the security MGNT
Risk parameters change for the security INTU-RM

Bursa Malaysia To Drive Good Corporate Governance With ICDM As Knowledge Partner

Date 19/11/2021

Bursa Malaysia Berhad (“Bursa Malaysia” or the “Exchange”) today announced the appointment of the Institute of Corporate Directors Malaysia (“ICDM”) as knowledge partner to conduct the Mandatory Accreditation Programme (“MAP”) for directors of Public Listed Companies (“PLCs”), in line with the goal to strengthen the corporate governance ecosystem in Malaysia.

Statement By US Secretary Of The Treasury Janet L. Yellen On The Deficit Impacts Of The Build Back Better Act

Date 18/11/2021

Secretary of the Treasury Janet L. Yellen released a statement today on the impact of the Build Back Better legislation.

SEC Proposes Rule To Provide Transparency In The Securities Lending Market - Proposed Rule Would Increase Availability Of Information Regarding Securities Lending Transactions

Date 18/11/2021

The Securities and Exchange Commission today published proposed Exchange Act Rule 10c-1, which would require lenders of securities to provide the material terms of securities lending transactions to a registered national securities association, such as the Financial Industry Regulatory Authority. The registered national securities association would then make the material terms of the securities lending transaction available to the public.

Ontario Securities Commission Seeks Comment On Priorities For 2022-2023

Date 18/11/2021

The Ontario Securities Commission (OSC) is seeking feedback from stakeholders on its draft 2022-2023 Statement of Priorities (SoP)  to inform business planning for the fiscal year. The draft SoP sets out the four strategic goals the OSC intends to focus its resources and actions on, as well as the priority initiatives the OSC will pursue to support the strategic goals. Investor protection continues to remain a top priority in the initiatives and actions the OSC undertakes.

SEC Proposes Updates To Electronic Recordkeeping Requirements - Amendments Will Help Modernize How Broker-Dealers Preserve Electronic Records And Enhance The Requirements For Security-Based Swap Entities

Date 18/11/2021

The Securities and Exchange Commission today published proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap participants (MSBSPs).

Canadian Securities Regulators, SROs And Investor Protection Funds Establish Timeline For New Self-Regulatory Framework

Date 18/11/2021

Work is progressing on the creation of a new self-regulatory organization (SRO) for the investment industry and a new investor protection fund (IPF).

Proposed Updates To Securities Lending Market, SEC Chair Gary Gensler, Nov. 18, 2021

Date 18/11/2021

This week, the Commission voted unanimously in support of a proposed rule designed to strengthen the transparency and efficiency of the securities lending market.