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Shanghai Commodity Futures Monthly Forum’s Annual Meeting 2015
Date 21/12/2015
The Exchange will be holding the Shanghai Commodity Futures Monthly Forum’s Annual Meeting 2015 in order to promote the functioning of futures market, intensify the research into commodity futures and related industry, and timely exchange information and views. On this forum, communications and discussions will be made centering around annual strategy for a variety of products listed on the Exchange. Relevant contents will be recorded in a video and uploaded to web-video studio for on-demand viewing after the end of on-site meeting.
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Japan Exchange Group: Start Of Trading Of TAIFEX TOPIX Futures
Date 21/12/2015
Taiwan Futures Exchange (TAIFEX) launched TOPIX futures denominated in New Taiwan Dollar on December 21, 2015, which was announced in "Japan Exchange Group and Taiwan Futures Exchange initiate the product cooperation by listing TOPIX futures in Taiwan" posted in News Release on November 16, 2015.
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HKEx Chief Executive Charles Li - Latest Charles Li Direct: Looking To Santa
Date 20/12/2015
HKEx Chief Executive Charles Li writes a letter to Santa to count the blessings this year and make his Christmas wishes in his latest blog post.
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The Saudi Stock Exchange Announces The Publication Of The Weekly Stock Market Ownership And Trading Activity Report (By Nationality And Investor Type)
Date 20/12/2015
The total value of shares traded for the week ending 17 December 2015 amounted to SAR 29.54 billion, increasing by 11.25% over the previous week; while total stock market capitalization reached SAR 1,629.26 billion at the end of this period, increasing by 1.11% over the previous week.
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HKEx Markets Set Several New Records In 2015
Date 20/12/2015
Hong Kong Exchanges and Clearing Limited’s (HKEx) securities and derivatives markets set several new records this year according to market statistics for 1 January 2015 to 15 December 2015 published today (Sunday) by HKEx in response to media requests.
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Statement In The Matter Of JPMorgan Chase Bank, N.A., Regarding Order Under 506(d) Of The Securities Act Of 1933 Granting A Waiver Of The Rule 506(d)(1)(iii) Disqualification Provision, SEC Commissioner Kara M. Stein, Dec. 18, 2015
Date 18/12/2015
On December 18, 2015, the Securities and Exchange Commission (“Commission”) granted a conditional waiver to JPMorgan Chase Bank, N.A. (“J.P. Morgan”) from the automatic disqualification provision under Rule 506(d)(1)(iii) of the Securities Act of 1933 (“Securities Act”). The request for this waiver arose from an order entered by the U.S. Commodity Futures Trading Commission (“CFTC”) making findings and imposing sanctions as a result of J.P. Morgan’s failure to adequately disclose certain conflicts of interest to clients. The facts underlying the CFTC order are generally the same as those underlying the Commission order dated December 18, 2015.
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SIFMA Statement On House Bills Introduced To Protect Retirement Savers
Date 18/12/2015
Today, SIFMA president and CEO Kenneth E. Bentsen, Jr., issued the following statement after Rep. Phil Roe (R-TN) introduced the “Affordable Retirement Advice Protection Act,” and Rep. Peter Roskam (R-IL) introduced the ‘‘Strengthening Access to Valuable Education and Retirement Support Act of 2015’’ or the ‘‘SAVERS Act of 2015.” The bills were introduced with Reps. Richard Neal (D-MA) and John Larson (D-CT):
“We applaud Reps. Roe, Roskam, Neal and Larson for taking bipartisan action to protect investors. The Affordable Retirement Advice Protection Act is intended to enhance retirement security and promote a best interest standard for advisors serving retail investors by modifying current retirement law. The SAVERS Act similarly aims to promote the best interests of investors by modifying current tax law. SIFMA has long supported the creation of a best interest standard for brokers, yet the DOL’s proposal as written is fundamentally flawed and will hurt the very same investors it seeks to protect. We commend any congressional action that will help protect investor choice and access to guidance, without raising costs. Retirement savings is too important not to get this right.”
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Autorité Des Marchés Financiers Adjusts Its Annual And Other Fees
Date 18/12/2015
As of January 1, 2016, the annual and other fees payable under the laws administered by theAutorité des marchés financiers (the “AMF”) will be adjusted.
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MIAX Options Exchange: Securities Trader Registration Categories And Qualification Exam For Proprietary Trading
Date 18/12/2015
MIAX ("MIAX" or "the Exchange") is establishing a new Securities Trader registration category ("TD") and qualification examination (Series 57) for persons engaged in proprietary trading on the Exchange effective January 4, 2016. MIAX is also establishing a new Securities Trader Principal registration category ("TP") applicable to persons responsible for supervision of persons engaged in proprietary trading effective January 4, 2016.
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SEC: Convicted Fraudster Using Aliases Charged Again For Defrauding Investors
Date 18/12/2015
The Securities and Exchange Commission today charged a known securities fraudster with conducting a new scheme since his release from prison by using fake names to solicit investors while hiding his criminal past.
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