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NZX Statement Re FMA Settlement wWth Milford

Date 18/06/2015

NZX notes the announcement today by the Financial Markets Authority regarding the settlement between the FMA and Milford Asset Management Limited (Milford). The FMA’s investigation followed a referral by NZX to the FMA.
New SOI Introduces Fresh Set Of Measures To Track New Zealand's Financial Markets Authority Success Over Medium-Term

Date 18/06/2015

Tabled in Parliament today, the Financial Markets Authority’s Statement of Intent (SOI) for 2015-2019 marks a further step in the agency’s evolution as a modern, risk-based conduct regulator.
NZX Welcomes First NXT Market lLsting

Date 18/06/2015

NZX is pleased to welcome G3 Group Limited as the first company to list on NXT, a new NZX market designed for small and mid-sized businesses. The listing, which will take place at 11.00am today, also marks the official launch of NXT.
Milford Asset Management To Pay $1.5 Million Following New Zealand's Financial Markets Authority Investigation

Date 18/06/2015

The Financial Markets Authority (FMA) has completed its investigation into certain trading activity between December 2013 and August 2014 by a trader employed by Milford Asset Management Limited (Milford). The FMA considers that the trading conduct breached the market manipulation prohibitions in s11B of the Securities Markets Act 1988. The FMA also concluded that the Milford Board failed to ensure that there was the requisite degree of monitoring of the trading activity.
The Great Era Of Financial Transformation: Financial Times Investment Management Summit - Ms Julia Leung, Executive Director, Investment Products, Hong Kong's Securities And Futures Commission, 18 June 2015

Date 18/06/2015

A speech entitled “The Great Era of Financial Transformation” delivered by Ms Julia Leung was posted on the SFC website today.

Qatar Stock Exchange And Qatar University Sign A Memorandum Of Understanding For Cooperation In The Fields Of Education And Training

Date 18/06/2015

In light of keenness to enhance the development of the national economy based on Qatar 2030 National Vision, Qatar Stock Exchange (QSE) and Qatar University signed today a Memorandum of Understanding (MoU) to promote future collaborations between the two organizations.
2015 China Plastics Industry Conference (CPIC) Held In Chengdu

Date 18/06/2015

When addressing the “2015 China Plastics Industry Conference (CPIC)”, which was jointly organized by Dalian Commodity Exchange (DCE), China Petroleum and Chemical Industry Federation and China Light Industry Council in Chengdu on June 11, Wei Zhenxiang, Vice President of DCE, said that as the world's largest plastics futures market, DCE will continue to optimize and improve the systems, explore the development of options, indexes and the OTC market, and push forward the internationalization of the market by seizing the market opportunities brought by the “One Belt and One Road” strategy and taking advantage of the industrial contacts with the Middle East region.
Dalian Commodity Exchange: Notice On Adjusting The Minimum Trading Margin Standards And The Price Limits Of All Products During The Dragon Boat Festival In 2015

Date 18/06/2015

According to Article 9 of the "Measures of Dalian Commodity Exchange for Risk Management", it has been decided upon discussion that DCE will adjust the minimum trading margin standards and the price limits of all the products before and after the market closure during the 2015 Dragon Boat Festival as follows:
ISDA BRRD Implementation Monitor

Date 18/06/2015

The European Bank Recovery and Resolution Directive (BRRD) is the European Union’s (EU) implementation of the Financial Stability Board’s Key Attributes on Effective Resolution Regimes for Financial Institutions. The EU directive creates a minimum harmonization regime for resolution of banks and investment firms in the EU. The implementation date for EU member states was January 1, 2015 (with the exception of the part on the bail-in resolution tool, which enters into force one year later).
FINRA Issues New Investor Alert, Plan For Transition: What You Should Know About The Transfer Of Brokerage Account Assets On Death

Date 18/06/2015

The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Plan for Transition: What You Should Know About the Transfer of Brokerage Account Assets on Death. FINRA's new Alert responds to issues raised by investors calling FINRA's Securities Helpline for Seniors, and informs brokerage account holders, family members and other beneficiaries about the general process firms follow when an account holder passes away.