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Hong Kong's Securities And Futures Commission Reprimands And Fines Huatai Financial Holdings (Hong Kong) Limited $800,000 Over Naked Short Selling

Date 17/09/2018

The Securities and Futures Commission (SFC) has reprimanded and fined Huatai Financial Holdings (Hong Kong) Limited (Huatai Financial) $800,000 for failures relating to the short selling of Great Wall Motor Company Limited (Great Wall) shares in 2015.
SWIM – Retail Liquidity Goes From Strength To Strength

Date 17/09/2018

Double-volume caps, large-in-scale restrictions, periodic auctions and systematic internalisers. In the first eight months of the new MiFIDII regime the trading landscape has evolved radically. New liquidity venues abound, fulfilling a variety of purposes and masters, some merely to enable the compliant trading of existing business in the new world, and others that genuinely introduce new liquidity.
FINMA Finds Deficiencies In Anti-Money Laundering Processes At Credit Suisse

Date 17/09/2018

The Swiss Financial Market Supervisory Authority FINMA has concluded two enforcement procedures against Credit Suisse AG. In the first procedure, FINMA identified deficiencies in the bank’s adherence to anti-money laundering due diligence obligations in relation to suspected corruption involving the International Federation of Association Football FIFA, the Brazilian oil corporation Petrobras and the Venezuelan oil corporation Petróleos de Venezuela, S.A. (PDVSA). The second procedure relates to a significant business relationship for the bank with a politically exposed person (PEP). In this instance too, FINMA identified deficiencies in the anti-money laundering process, as well as shortcomings in the bank's control mechanisms and risk management. FINMA has decreed measures to further improve anti-money laundering processes and to accelerate the implementation of steps already initiated by the bank. It will commission an independent third party to monitor the implementation and effectiveness of these measures.
Shanghai Stock Exchange Measures For Shanghai-HK Stock Connect Business Amended For Northbound See-through Mechanism

Date 17/09/2018

The China Securities Regulatory Commission (CSRC) and the Securities and Futures Commission of Hong Kong have recently reached a consensus and announced that the northbound see-through mechanism (investor identification code system) for Shanghai-HK Stock Connect and Shenzhen-HK Stock Connect will be officially implemented on September 17, 2018. Thus, the Shanghai Stock Exchange (SSE) has amended and released the "SSE Measures for Shanghai-HK Stock Connect Business". The establishment of the northbound see-through mechanism will help the SSE give full play to its frontline regulatory function, improve the cross-border regulatory cooperation mechanism and maintain the stable operation of the A-share market.
DIFC And University Of Paris II Launch Joint Business And Law Degree

Date 17/09/2018
- Partnership expands the Centre’s professional development
- University of Paris II joins world-renowned institutions that offer a diverse range of educational programmes from the Centre

The Tel-Aviv Stock Exchange Is Launching An Index For Family Companies Traded On The Stock Exchange – the TA-Family Index The Index Will Comprise The Shares Of Companies Included In The List Of “Family Companies” To Be Determined By The Raya Strauss Family Business Research Center At The Coller School Of Management, Tel Aviv University

Date 16/09/2018

The Board of Directors of the Tel-Aviv Stock Exchange (TASE) has approved (September 13, 2018) the launch of a new equity index – the TA-Family Index. The Index will comprise the shares of companies included in the list of “family companies,” to be determined by the Raya Strauss Family Business Research Center, at the Coller School of Management, Tel Aviv University.

The Saudi Stock Exchange Announces The Publication Of The Weekly Stock Market Ownership And Trading Activity Report (By Nationality And Investor Type)

Date 16/09/2018

To view the detailed Weekly Stock Market Ownership and Trading Activity Report (by Nationality and Investor Type) for Main Market and Nomu-Parallel Market please Click Here
HKEX Severe Weather Arrangements

Date 16/09/2018

Super Typhoon Mangkhut is approaching Hong Kong, in case any disruption to the market, here are the contingency arrangements for the settlement of September contracts of RMB Currency Futures, Options and HIBOR Futures, the London Metal Mini Futures Contracts and the Physically Settled USD and CNH Gold Futures contracts expiring on 17 September.
Kish Invex 2018, 22-25 October 2018 Kish Island, Iran

Date 16/09/2018

KishINVEX® is providing this platform for participants and business companies to introduce their numerous investment opportunities, hosted by Kish Free Zone Organization. It’s a great opportunity to start a mutual business relation and invest in one of the most diversiﬁed markets in MENA region. International participants are welcomed by Iranian governmental and private organizations, companies and business experts to take part in KishINVEX® 2018 and explore these investment opportunities that have been remained untapped.
Remarks Of CFTC Commissioner Rostin Behnam At The Michigan Agri-Business Association 2018 Outlook Conference, Mackinac Island, Michigan - Markets And Issues: Lessons Learned And A Path Forward

Date 15/09/2018

Introduction (and a Bit of History)

Good morning. It is great to be here with all of you, and a pleasure to kick off this important conference on beautiful Mackinac Island. Before I begin my remarks, I want to thank our host, the Michigan Agri-Business Association, for the kind invitation to speak with you. Before getting into some of the more recent work of and developments at the Commodity Futures Trading Commission (“CFTC”), I’d like to tell you a little about my personal history and connection with Michigan and the agricultural markets.