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Westpac MNI China CSI Falls To 113.2 In September From 113.3 In August - Households Expect Soft Patch To Extend, Distance Themselves From Real Estate

Date 24/09/2014

Consumer sentiment fell for the second consecutive month in September as the outlook for employment deteriorated sharply and consumers showed increasing signs of nervousness about their personal finances and the housing market.
Notice Of Releasing “Shanghai Stock Exchange Guidelines For Information Disclosure Work Of Shareholding Plans For Listed Companies’ Employees”

Date 24/09/2014

The Shanghai Stock Exchange (SSE) has formulated the “SSE Guidelines for Information Disclosure Work of Shareholding Plans for Listed Companies’ Employees” (the “Guidelines” for short, see attachment), in a bid to implement requirements in the “Guiding Opinions on Pilot Program of Listed Companies’ Implementing Shareholding Plans for Employees” (CSRC Announcement [2014] No. 33 Document) of the China Securities Regulatory Commission (CSRC), guide listed companies’ implementation of shareholding plans for employees, and standardize information disclosure of listed companies and relevant bodies. The “Guidelines” is hereby released and shall come into effect from the date of release.
Tokyo Stock Exchange: The Council Of Experts Concerning The Corporate Governance Code - The Third Council

Date 24/09/2014

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. On September 30, 2014, we will hold the third council.
CME Group Named 'Exchange Of The Year Asia' By Energy Risk

Date 24/09/2014

CME Group, the world's leading and most diverse derivatives marketplace, today announced the company was named 'Exchange of the Year Asia' at the 7th Energy Risk Awards Asia 2014. The awards ceremony held on 23rd September 2014 in Singaporerecognized CME Group's significant achievements in the Asian energy derivatives space.
CFTC Orders Georgia Resident Todd Young And His Company, Young Scott & Associates, To Cease Illegal Fictitious Precious Metals Sales - Order Includes Restitution Award And Prohibitions Against Future Activity

Date 23/09/2014

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Todd Young, a resident of Atlanta, Georgia, and his company, Young Scott & Associates (YSA), for engaging in illegal, off-exchange precious metals transactions.

Liberty Reserve Technology Manager Pleads Guilty

Date 23/09/2014

The former information technology manager of Liberty Reserve, a company that operated one of the world’s most widely used digital currency services and allegedly laundered billions in suspected criminal proceeds, pleaded guilty today in the Southern District of New York in connection with his role in maintaining the company’s technological infrastructure.
Derivatives Market Transparency - Three Entities Recognized As Trade Repositories In Québec

Date 23/09/2014

Effective October 31, 2014, derivatives market participants in Québec must report their data to one of three trade repositories that have now been recognized by the Autorité des marchés financiers(the “AMF”), namely, Chicago Mercantile Exchange Inc. (“CME”), DTCC Data Repository (U.S.) LLC (“DDR”) and ICE Trade Vault, LLC (“ICE TV”).
MIAX Options Exchange Will Participate In SIFMA's October 25, 2014 Industry-Wide Business Continuity Test

Date 23/09/2014

The MIAX Options Exchange will participate in the SIFMA 2014 industry-wide business continuity test on Saturday, October 25, 2014 from 9:00 AM to 1:00 PM EST.
SEC Charges Two Florida-Based Attorneys For Roles In Offering Fraud By Transfer Agent

Date 23/09/2014

The Securities and Exchange Commission today charged two Florida-based attorneys for their roles in an offering fraud conducted by a transfer agent that was the subject of an SEC enforcement action two months ago.
CFTC Charges Ohio Resident John R. Bullar And His Company, Executive Management Advisors L.L.C., With Fraud And Embezzlement In Operating An $8.3 Million Commodity Pool And Ponzi Scheme

Date 23/09/2014

The U.S. Commodity Futures Trading Commission (CFTC) today filed a federal civil enforcement action in the U.S. District Court for the Southern District of Ohio against Defendants John R. Bullar, who resides in Cincinnati, Ohio, and Executive Management Advisors L.L.C., a company organized in Ohio and of which Bullar was the sole principal. The CFTC Complaint charges that the Defendants, while acting as Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs), fraudulently solicited over $8.3 million from at least 40 investors for pooling and trading in futures and options; provided participants with false account statements; embezzled and misappropriated participants’ funds; and acted as CPOs and CTAs while failing to register as such with the CFTC.