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ESMA Publishes Latest Statistical Data On Prospectus Approval And Passorting In The EEA

Date 23/10/2014

The European Securities and Markets Authority (ESMA) has published two reports containing the latest statistical data in relation to the number of prospectuses approved and passported by National Competent Authorities in the European Economic Area (EEA). The two reports cover the periods January 2013 – December 2013 and January 2014 – June 2014 and are part of ESMA’s ongoing monitoring of prospectus activity in the EEA.
Moscow Exchange Draws Record Audience To Discuss Russian Market Opportunities At London Forum

Date 23/10/2014

More than 300 market participants gathered in London on 22 October for the annual Moscow Exchange Forum: London Session. Held at the Andaz Hotel, the Forum shed light on opportunities in Russia"s capital markets, upgrades to market infrastructure and product development at the Exchange, and the future of regulatory reform.
Hong Kong's Securities And Futures Commission Bans Yan Chee Yung For Life

Date 23/10/2014

The Securities and Futures Commission (SFC) has banned Mr Yan Chee Yung, a former employee of Chong Hing Securities Limited, from re-entering the industry for life for defrauding his clients and misappropriating client money.
Tokyo Stock Exchange: The Council Of Experts Concerning The Corporate Governance Code [The Fifth Council]

Date 23/10/2014

The Tokyo Stock Exchange (TSE) and the Financial Services Agency (FSA) have jointly established the Council of Experts Concerning the Corporate Governance Code with an aim of obtaining recommendations while referring to the knowledge of experts within private sector.
ESMA: Joint Committee Publishes 2014 List Of Identified Financial Conglomerates

Date 23/10/2014

The Joint Committee publishes the 2014 List of Identified Financial Conglomerates. The latest version of the list shows 71 financial conglomerates with the head of group in an EU/EEA country, one with the head of group in Australia, two with the head of the group in Switzerland, and two with the head of group in the United States.

HKEx Group And China Merchants Group Sign MOU

Date 23/10/2014

Hong Kong Exchanges and Clearing Limited (HKEx), HKEx Group companies the London Metal Exchange (LME) and LME Clear Limited, China Merchants Group Limited (CMG) and China Merchants Securities Co. Limited (CMS), signed a memorandum of understanding (MOU) on 22 October 2014 for a strategic alliance in product development and related services for market users.
UK's Financial Conduct Authority Publishes Decision Notice Against Paul Reynolds Deciding To Ban Him And Fine Him £290,344

Date 23/10/2014

The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).
TriOptima’s triResolve Service Solves The Unmatched Trade Repository Data Problem Challenging Reporting Institutions

Date 23/10/2014

TriOptima, leading provider of OTC derivative post trade risk services, announces that its triResolve service for portfolio reconciliation offers a solution to the unmatched trade problem reporting institutions are facing in European trade repositories.
Neonet Partners With Commcise For Commission Management Solution

Date 23/10/2014

Neonet Securities, the independent agency broker and execution specialist, today announced that it has partnered with Commcise, the independent buy-side investment technology vendor, to broaden its service offering within commission management.
Australia Top-Three Most Expensive Market In The World For Clearing - An Industry-Funded Report By Independent Research House Market Structure Partners Shows That Australia Is Amongst The World’s Most Expensive Developed Markets To Clear Equities, And Suggests That The Risk Management Model In Australia Is Unusual When Compared To Other Global Markets And Merits Further Examination

Date 23/10/2014

A research report commissioned by a group of clearing participants including Pershing, Citi, Deutsche Bank, Credit Suisse, Morgan Stanley and Bank of America Merrill Lynch has found Australia to be one of the world’s most expensive developed markets to clear and settle equities.