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Bursa Malaysia Securities Sector Update

Date 13/08/2015

Bursa Malaysia Securities Berhad (“Bursa Securities”) has decided to update the classification of sector for OSK Holdings Berhad (“OSK”) to come into effect on 9.00a.m., Monday, 17 August 2015.
SEC: Edward Jones To Pay $20 Million For Overcharging Retail Customers In Municipal Bond Underwritings

Date 13/08/2015

The Securities and Exchange Commission today announced that St. Louis-based brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that they overcharged customers in new municipal bonds sales. It’s the SEC’s first case against an underwriter for pricing-related fraud in the primary market for municipal securities. The firm also was charged with separate misconduct related to supervisory failures in its review of certain secondary market municipal bond trades.
Open Interest Of TOCOM Crude Oil Hit All-Time Record

Date 13/08/2015

Open interest of TOCOM Dubai Crude Oil Futures reached 53,117 contracts today recording the all-time high since its launch on September 1, 2001. The old mark was 52,418 contracts recorded on January 7, 2002.
ESMA Recommends Changes To EMIR Framework

Date 13/08/2015

The European Securities and Markets Authority (ESMA) has published four reports focused on how the European Markets Infrastructure Regulation (EMIR) framework has been functioning and providing input and recommendations to the European Commission’s (EC) EMIR Review.
SIX Opens FinTech Incubator “F10”

Date 13/08/2015

FinTech Incubator “F10” is the innovation center of SIX. It is home to small interdisciplinary teams who develop promising ideas and evaluate their potential for the financial industry. In collaboration with FinTech start-ups, the team, based at Förrlibuckstrasse 10, is setting up a complete innovation ecosystem with a dedicated staff, know-how, infrastructure and communities whose task is to drive further developments on Switzerland's FinTech front and develop new technologies for SIX.

UK's Financial Conduct Authority Bans And Fines Robert Shaw, Of TailorMade Independent Ltd, For SIPP Advisory Failings

Date 13/08/2015

Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI), has been banned from senior positions in financial services and fined £165,900 by the Financial Conduct Authority (FCA).
Lahore Stock Exchange Market Holiday - Independence Day

Date 13/08/2015

The Lahore Stock Exchange Limited will remain closed on Friday, August 14, 2015, this being a National holiday on account of Independence Day of Islamic Republic of Pakistan.
Hong Kong's Securities And Futures Appeals Tribunal Affirms Securities And Futures Commission Decision To Revoke Approval Of Miranda Sham Sze Wai As Responsible Officer Over Internal Control Failures

Date 13/08/2015

The Securities and Futures Appeals Tribunal (SFAT) today affirmed the decision of the Securities and Futures Commission (SFC) to revoke the approval of Ms Miranda Sham Sze Wai to act as a responsible officer over findings that she was involved in serious internal control deficiencies at Ping An of China Securities (Hong Kong) Company Limited (Ping An) between August 2010 and April 2011 (Notes 1 & 2).
UK Financial Conduct Authority Publishes Rules On How It Will Apply The New Accountability Regime To UK Branches Of Overseas Banks And Solvency II Firms

Date 13/08/2015

The Financial Conduct Authority (FCA), alongside the Prudential Regulation Authority (PRA), has today published near final rules confirming how it will apply the new accountability regime to UK branches of overseas banks, and also confirms reforms to the approved persons regime for Solvency II firms.
Dalian Commodity Exchange Revises Relevant Rules

Date 13/08/2015

To further optimize the system of rules, on August 10, Dalian Commodity Exchange (DCE) issued a notice on combining the two sets of measures for management of warehouse receipts, and revising the detailed rules for delivery, the rules for futures margin depository banks and other relevant rules.