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Hong Kong's Securities And Futures Commission Reprimands And Fines Merrill Lynch Far East Limited $128 Million For Sponsor Failures

Date 14/03/2019

The Securities and Futures Commission (SFC) has reprimanded and fined Merrill Lynch Far East Limited (Merrill Lynch) for failing to discharge its obligations as one of the joint sponsors in relation to the listing application of Tianhe Chemicals Group Limited (Tianhe) in 2014.
Changes To The UK Financial Policy Committee - Dame Jayne-Anne Gadhia Will Join The Bank Of England's Financial Policy Committee In April 2020.

Date 14/03/2019

Dame Jayne-Anne Gadhia was appointed as an external member of the Bank of England’s Financial Policy Committee (FPC) in January 2019. To ensure Dame Jayne-Anne is free from conflicts arising from her continuing role with CYBG, she will now join the FPC in April 2020, rather than April 2019. The delay to her start date will ensure she does not have to recuse herself from significant parts of the FPC’s work.
ESMA RegTech And SupTech – Change For Markets And Regulators

Date 14/03/2019

The European Securities and Markets Authority (ESMA) has carried out an analysis of the regulatory and supervisory technologies currently being developed in response to various demand and supply drivers. The results of this analysis are presented in an article in the latest Trends, Risks and Vulnerabilities (TRV) Report.
Hong Kong's Securities And Futures Commission Fines UBS $375 Million And Suspends Its Licence For One Year For Sponsor Failures

Date 14/03/2019

The Securities and Futures Commission (SFC) has reprimanded and fined UBS AG and UBS Securities Hong Kong Limited (UBS Securities Hong Kong) (collectively, UBS) a sum of $375 million for failing to discharge their obligations as one of the joint sponsors of three listing applications, namely, China Forestry Holdings Company Limited (China Forestry), Tianhe Chemicals Group Limited (Tianhe), and another listing application (the Other Listing Application).
Moscow Exchange:Risk Parameters Change For The Security GCHE

Date 14/03/2019

As per the Equity Market Risk Parameters Methodology, on 14.03.2019, 13-57 (MSK) the upper bound of the price band and initial margins for the security GCHE was changed. New values are available at http://nkcbank.com/fondMarketRates.do

Hong Kong’s Securities And Futures Commission Reprimands And Fines Standard Chartered Securities $59.7 Million For Sponsor Failures

Date 14/03/2019

The Securities and Futures Commission (SFC) has reprimanded and fined Standard Chartered Securities (Hong Kong) Limited (Standard Chartered Securities) $59.7 million for failing to discharge its obligations as one of the joint sponsors in relation to the listing application of China Forestry Holdings Company Limited (China Forestry) in 2009 (Notes 1, 2, 3).
BME And RENTA 4 Test Blockchain Technology For Collateral Pledge

Date 14/03/2019

BME and Renta 4 Banco have carried out the first test for the digitisation of the certification process of collateral pledge using Blockchain technology, eliminating the need to use and exchange physical certificates.
Deutsche Börse FinTech Hub Enters The Second Round

Date 14/03/2019

Deutsche Börse is further developing its FinTech Hub: in cooperation with TechQuartier, it is now bringing new start-ups to the Hub in Frankfurt's Ostend district. The focus is on technologies for the capital market that will shape the function of the financial markets today and in the future. The first fintech to move in is transaction factory, a software and consulting start-up for financial service providers, banks and stock exchanges. Further start-ups will follow in the coming months.
ESMA Includes MIFID II/ MiFIR In Its Interactive Single Rulebook

Date 14/03/2019

The European Securities and Markets Authority (ESMA) has updated today its Interactive Single Rulebook, an online tool allowing a comprehensive overview of and an easy access to all level 2 and level 3 measures adopted in relation to a given level 1 text.
Symposium Co-hosted By Japan's Financial Services Agency-Japan Exchange Group On "TCFD- The Power Of The TCFD Framework In Company-Investor Dialogue"

Date 14/03/2019

On February 12, 2019, Japan's Financial Services Agency (JFSA) and Japan Exchange Group, Inc. (JPX) co-hosted a symposium at Tokyo Stock Exchange, entitled "TCFD- The Power of the TCFD Framework in Company-Investor Dialogue".