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HKEX: Temporary Holiday Risk Management Arrangements

Date 30/01/2019

Reference is made to the circular dated 22 January 2019 (Reference No.: CD/CDCRM/009/2019) regarding the risk management arrangements in respect of the forth-coming Lunar New Year Holidays. Participants are kindly reminded to take note of the following:
Japan’s Financial Services Agency And US National Association Of Insurance Commissioners Held The 10th Meeting Of The Insurance Regulatory Dialogue

Date 30/01/2019

On January 23, 2019, the Financial Services Agency (FSA) and the US National Association of Insurance Commissioners (NAIC) held the 10th Insurance Regulatory Dialogue in Tokyo, Japan.
ETFGI Reports That Assets Invested In ETFs And ETPs Listed In Asia Pacific (Ex-Japan) Reached A Record High Of US$197 Billion At The End Of December 2018

Date 30/01/2019

ETFGI, a leading independent research and consultancy firm on trends in the Asia Pacific (ex-Japan) ETF/ETP ecosystem, reported today that that assets invested in ETFs and ETPs listed In Asia Pacific (ex-Japan) reached a record high of US$197 billion at the end of December 2018, surpassing the previous record set at the end of the previous month, according to ETFGI’s December 2018 Asia Pacific (ex-Japan) ETF and ETP industry insights report, an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)
Securities Commission Malaysia Reprimands And Fines Deloitte RM2.2 Million

Date 30/01/2019

The Securities Commission Malaysia (SC) today reprimanded and imposed penalties on Deloitte PLT (Deloitte) for four breaches related to the RM2.4 billion Sukuk Murabahah Programme issued by Bandar Malaysia Sdn Bhd (BMSB) in 2014.
ETFGI Reports That ETFs And ETPs Listed In Japan Gathered Net Inflows Of US$9.00 Billion During December 2018

Date 30/01/2019

ETFGI, a leading independent research and consultancy firm on trends in the Japanese ETF/ETP ecosystem, reported today that that ETFs and ETPs listed in Japan gathered net new assets of US$9.00 billion during December 2018, marking 14 consecutive months of net inflows. Year-to-date, for the whole of 2018, ETFs/ETPs listed in Japan have seen record net inflows of US$72.4 billion, surpassing the previous record for annual net inflows set in 2017 with US$52.6 billion. (All dollar values in USD unless otherwise noted.)

Corn Options Listed On Dalian Commodity Exchange, Industry Service Entering A New Stage

Date 30/01/2019

At 9 o’clock on the morning of January 28, Li Zhengqiang, Party Chief and Chairman of Dalian Commodity Exchange (DCE), and Jin Guowei, Deputy Mayor of Dalian, jointly struck the gong for the official listing of corn options on DCE. Guests from relevant national departments, local government, industry associations, the industry circles and the financial circle were present and witnessed its listing. DCE Deputy Party Chief and CEO Wang Fenghai presided over the listing ceremony.
Shanghai Stock Exchange Issues “Measures For Pilot Management Of Credit Protection Instrument Business” And The Supporting Rules

Date 30/01/2019

Recently, the Shanghai Stock Exchange (SSE) and China Securities Depository and Clearing Co., Ltd. (CSDC) jointly issued the “Measures for Pilot Management of Credit Protection Instrument Business of Shanghai Stock Exchange and China Securities Depository and Clearing Co., Ltd.” (the Pilot Measures for short) upon the approval of the China Securities Regulatory Commission (CSRC). The SSE also released the “SSE Guidelines on Trading Business of Credit Protection Instrument” (the Guidelines for short) and the “SSE Guide on Trading Business of Credit Protection Instrument” (the Guide for short). The above rules shall come into force from the date of issuance.
SEC Charges Four Public Companies With Longstanding ICFR Failures

Date 29/01/2019

The Securities and Exchange Commission today announced settled charges against four public companies for failing to maintain internal control over financial reporting (ICFR) for seven to 10 consecutive annual reporting periods. Two of the charged companies also failed to complete the required evaluation of the effectiveness of ICFR for two consecutive annual reporting periods.
New York State Department Of Financial Services Fines Standard Chartered Bank $40 Million For Attempting To Rig Foreign Exchange Transactions - Bank Admits Failing To Effectively Deter Illegal Trading Activities Between 2007 And 2013 - Traders Used Chat Rooms, E-Mails And Other Communications To Improperly Share Confidential Information And Attempt To Manipulate Trades

Date 29/01/2019

Financial Services Superintendent Maria T. Vullo today announced that the New York Department of Financial Services (DFS) has fined Standard Chartered Bank $40 million for attempting to rig transactions in foreign exchange markets between 2007 and 2013. This consent order marks the last in a series of DFS consent orders that follow a detailed investigation of manipulation in the foreign exchange markets. With respect to today’s action, the investigation by DFS, as well as an internal review by the bank, found that bank traders used a range of illegal tactics to maximize profits or minimize losses at the expense of the bank’s customers or customers at other banks. Under the consent order with DFS, Standard Chartered admitted that it failed to implement effective controls over its foreign exchange business, which is conducted at its London headquarters and in other global financial centers, including at its New York branch.
AcadiaSoft Teams With ISDA To Streamline Integration With ISDA Create

Date 29/01/2019

AcadiaSoft Inc., the leading industry provider of risk and collateral management services for the non-cleared derivatives community, and the International Swaps and Derivatives Association, Inc. (ISDA) today announced a collaboration to streamline integration between ISDA Create and AcadiaSoft’s AgreementManager offering.