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Shanghai Stock Exchange: Q & A On Implementing Registration-based System For Public Issuance Of Corporate Bonds

Date 06/03/2020

The amended “Securities Law of the People's Republic of China” (the "Securities Law" for short) will come into effect starting from March 1, 2020. In order to carry through the work arrangement of the State Council for enforcing the “Securities Law”, the registration-based system for the public issuance of corporate bonds will be put into practice from March 1, 2020, according to the overall arrangements of the China Securities Regulatory Commission (CSRC). The Shanghai Stock Exchange (SSE) today officially issued the "Notice on Business Arrangements of Shanghai Stock Exchange for Implementing Registration-based System for Public Issuance of Corporate Bonds" (No. 13 [2020] of the Shanghai Stock Exchange, hereinafter referred to as the "Notice"). To this end, the relevant SSE official answered the questions about the business arrangements for the implementation of the registration-based system on the corporate bonds.
US Department Of Justice: Founder Of Russian Bank Charged With Tax Fraud - Allegedly Concealed $1 Billion In Assets And Income When Renouncing U.S. Citizenship

Date 05/03/2020

The founder of a Russian bank was arrested last week in London in connection with an indictment charging him with filing false tax returns, announced Principal Deputy Assistant Attorney General Richard E. Zuckerman of the Justice Department’s Tax Division, U.S. Attorney David L. Anderson for the Northern District of California, and Internal Revenue Service (IRS) Criminal Investigation, Special Agent in Charge Kareem Carter. The Sept. 26, 2019, indictment was unsealed today.
FINRA Arbitration Rule Change: Order Approving A Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available To Customers If A Firm Or Associated Person Is Or Becomes Inactive

Date 05/03/2020

FINRA has received approval to amend the FINRA Code of Arbitration Procedure for Customer Disputes to expand a customer’s options to withdraw an arbitration claim if a member or an associated person becomes inactive before a claim is filed or during a pending arbitration. In addition, the proposed amendments would allow customers to amend pleadings, postpone hearings, request default proceedings and receive a refund of filing fees in these situations.
IIROC's Work With Canadian Securities Administrators (CSA) Results In Proposed Rule Amendments To Protect Vulnerable Investors - Measures Would Give Investment Firms/Registrants Tools To Help Protect Clients

Date 05/03/2020

The Investment Industry Regulatory Organization of Canada (IIROC) applauds the work of the Canadian Securities Administrators (CSA) in formalizing protective measures to assist investment dealers/individuals when they reasonably believe a vulnerable client is being financially exploited or a client may have diminished mental capacity.
Canadian Securities Regulators Adopt Harmonized Pre-File Review Of Prospectuses

Date 05/03/2020

Issuers across Canada will now be able to submit their prospectuses for confidential review by securities regulators before publicly filing them.

US Department Of Justice: Federal Jury Convicts Founder And Chairman Of A Multinational Investment Company And A Company Consultant Of Public Corruption And Bribery Charges - Former North Carolina State Political Party Chairman Previously Pleaded Guilty To Lying To The FBI In Connection With The Bribery Scheme

Date 05/03/2020

A federal jury sitting in Charlotte, North Carolina, has convicted the founder and chairman of a multinational investment company and a company consultant of public corruption and bribery charges, for orchestrating a bribery scheme involving independent expenditure accounts and improper campaign contributions.
Nodal Exchange Achieves Record Volume And Market Share In Power In February

Date 05/03/2020

Nodal Exchange achieved record power futures trading volume in February 2020 with 259.5 million MWh ($6.6 Billion per side), including 73.9 million MWh related to the successful migration of power futures from Nasdaq Futures (NFX) on February 6. This represents Nodal Exchange’s highest volume month ever, as well as its 19th consecutive record calendar month.
Canadian Securities Regulators Propose Changes To Tackle Financial Exploitation And Diminished Mental Capacity Of Older And Vulnerable Clients

Date 05/03/2020

The Canadian Securities Administrators (CSA) today published for comment proposed amendments designed to clearly outline how registrants can address situations involving diminished mental capacity or the potential financial exploitation of vulnerable clients.
2020 US National Interagency Community Reinvestment Conference Is Postponed - COVID-19

Date 05/03/2020

After careful consideration of the growing public health concerns associated with the coronavirus (COVID-19), the organizing sponsors of the 2020 National Interagency Community Reinvestment Conference (NICRC), scheduled March 9-12 in Denver, Colorado, have made the decision to postpone the conference.
Annual Revision Of GPW Benchmark Indices

Date 05/03/2020

GPW Benchmark announces the annual revision of WIG20, mWIG40, sWIG80 and WIG30 indices portfolios. Changes will come into force after close of business on March 20, 2020.