News Centre

Hong Kong's Securities And Futures Commission Revokes Licence Of John David Lawrence And Fines Him $900,000

Date 09/10/2014

The Securities and Futures Commission (SFC) has revoked the licence of Mr John David Lawrence, a representative of PFC International Company Limited (PFC), and fined him $900,000 for failings relating to his sale of the EEA Life Settlements Fund (Fund) to clients.

Platts China Steel Sentiment Index Falls To Lowest Level Since January - China Steel Market Relies On Exports On Weak Domestic Demand, Output Drop Expected

Date 09/10/2014

ITRS Geneos Adds Advanced Monitoring Capabilities For Bloomberg's Real-Time Market Data Feed

Date 09/10/2014

ITRS Group Ltd, the leading global provider of performance monitoring and management technology, has announced today the launch of an interface that provides advanced monitoring for Bloomberg’s real-time market data feed, called B-PIPE.

Global Funds Still Keen On Thailand During Roadshow In New York

Date 09/10/2014

“Thai Forum”, held by The Stock Exchange of Thailand (SET), Bank of America Merrill Lynch, and Phatra Securities pcl, has drawn great attention from global institutional investors in New York, United States after key government executives, including Finance Minister Sommai Phasee, provided a clear direction on Thailand’s economy and its promising outlook.

Osaka Exchange: Expansion Of Contract Months For Options On Nikkei Stock Average And Introduction Of Weekly Options

Date 09/10/2014

From the viewpoint of further enhancing the convenience of market participants, Osaka Exchange, Inc. (hereinafter “OSE”) will introduce new options contracts on the Nikkei Stock Average (hereinafter “Nikkei 225”) in addition to the current contracts, which expire on the second Friday (hereinafter “regular options”). The new options contracts (hereinafter “weekly options”) will be set so that they expire on Fridays on which there are no expiring regular options.

MNI Russia Consumer Sentiment Survey September 2014 - MNI Russia Consumer Indicator Rises 3.6 points To 85.3 In September

Date 09/10/2014

Russian consumer sentiment recovered slightly after plummeting to an all time low in the previous month, although consumers were even more concerned about the outlook for employment and the high level of prices.

Taiwan Futures Exchange Monthly Newsletter- October 2014

Date 09/10/2014

Click here to download the TAIFEX October Newsletter.

IOSCO - Report Of The Board: The Year In Review And The Year Ahead

Date 09/10/2014

A speech by Greg Medcraft, Chairman, Australian Securities and Investments Commission to the 39th International Organization of Securities Commissions (IOSCO) Annual Conference, 1 October 2014.

Federal Court Orders Florida Resident Richard Morello And His Florida Company, Vertical Integration Group LLC, To Pay Over $2.5 Million In Monetary Sanctions For Engaging in Illegal, Off-Exchange Precious Metals Transactions - Junior Alexis, Florida Resident And Vertical Integration Group, LLC Employee, Ordered To Pay Over $700,000 In Monetary Sanctions For His Role In The Unlawful Venture

Date 08/10/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Beth Bloom of the U.S. District Court for the Southern District of Florida entered an Order of Default Judgment against Vertical Integration Group LLC (Vertical) of Lake Worth, Florida, and its Managing Members,Richard V. Morello of Lake Worth, Florida, and Junior Alexis of Boynton Beach, Florida, for engaging in illegal, off-exchange precious metals transactions.

New Template Available On FINRA Firm Gateway For Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)

Date 08/10/2014

Executive Summary

In 2013, the SEC amended paragraph (f)(2) of SEA Rule 17a-5 to revise the statement regarding identification of a broker-dealer’s independent public accountant that broker-dealers must file with the SEC and FINRA, as specified in the rule. The new requirement became effective on June 1, 2014. This Notice is to announce that FINRA is making available, through the Firm Gateway, a new template (referred to as the Rule 17a-5(f)(2) Statement) for members to file electronically with FINRA pursuant to the rule. Pursuant to NASD Rule 3170, all such statements must be filed with FINRA electronically, using the new template.