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KRX: Investor Protection By The Market Oversight Committee In 2014

Date 15/01/2015

The Market Oversight Committee (MOC) of the Korea Exchange (KRX) announced its activities on protecting investors such as the mediation of disputes in stock and derivatives markets, the early mediation linked to the court and the support for investors damaged by unfair trading.

Nigerian Stock Exchange Yearly Review: 2014 Market Recap And 2015 Key Initiatives

Date 15/01/2015

Summary:
- Bearish sentiments prevailed in most commodities based economies including the Nigerian market in 2014; the capitalization of listed equities retreated by 13.15% (24.95% in $-terms) from N13.23 trillion ($82.80 billion) to N11.49 trillion ($61.72 billion).
- The NSE All Share Index (ASI) slid 16.14%, while NSE ASeM Index and NSE Oil/Gas Index grew 26.09% and 11.84% respectively. Average daily turnover for equities was N5.4 billion ($29.00 million), up 29.50% (11.03% in $-terms).
- The Nigerian Stock Exchange (NSE) closed the year with six (6) new equity listings – two (2) on the Main Board, one (1) on ASeM, and three (3) ETFs, while the Bond market recorded twelve(12) new listings with a slight dip in the value of new issues. See pages 3 and 4 for more details.
- The NSE was admitted as a full member of the World Federation of Exchanges (WFE), and Phase 1 of the West African Capital Market Integration (WACMI) program is well underway with the successful launch of direct market access (DMA). The NSE made history by becoming the first African stock exchange to join the Intermarket Surveillance Group (ISG), and welcomed a new president and six (6) Council members to its National Council.

Strengthening Of KOSDAQ Identity By Active IPOs Of Hi-Tech Companies

Date 15/01/2015

The Korea Exchange (KRX) announced that IPOs of new companies equipped with high value-added advanced technology have increased. Before 2013, most of the newly-listed companies were from Korea’s representative parts and machinery industries such as semiconductor, display, motors and mobile phone, etc.

Tokyo Stock Exchange: Listing Of DIAM's First ETF - DIAM ETF Nikkei225 -

Date 15/01/2015

Today, Tokyo Stock Exchange, Inc. (TSE) announced the listing of "DIAM ETF Nikkei225" (Code: 1369), managed by DIAM Co., Ltd., on the TSE market.
Financial Stability Oversight Council To Meet January 21

Date 14/01/2015

On Wednesday, January 21, Secretary Lew will preside over an open session of the Financial Stability Oversight Council (Council) at the Treasury Department. The preliminary agenda for the open session includes an update on benchmark reform efforts and a discussion of the Council’s process for considering nonbank financial companies for potential designation.

CFTC Swaps Report Update

Date 14/01/2015

CFTC's Weekly Swaps Report has been updated, and is now available.
Deutsche Börse: Unscheduled Component Changes SDAX: Hella KGaA Hueck & Co Will Replace C.A.T. Oil

Date 14/01/2015

Deutsche Börse has announced that C.A.T. Oil AG will be replaced by Hella KGaA Hueck & Co. in SDAX. Due to the takeover of C.A.T. Oil AG by Joma Industrial Source Corp, the free float of C.A.T. Oil AG has dropped from 41.31 percent to 1.95 percent. With a free float below 10 percent, the company is ineligible for index inclusion, according to the rulebook.
Canadian Securities Exchange Enjoys Record Year In 2014

Date 14/01/2015

The Canadian Securities Exchange (“CSE”) is pleased to announce record results in all key performance categories for the year ended December 31, 2014, reflecting success in achieving the exchange’s goal of reducing the cost of capital for Canadian public companies. For 2015, the CSE expects growth to remain strong as it maintains existing activities and introduces several new initiatives to further strengthen competitiveness.
FINRA Hearing Panel Expels John Carris Investments And Bars CEO George Carris For Fraud

Date 14/01/2015

The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has expelled John Carris Investments, LLC (JCI) and barred CEO George Carris from the securities industry for fraud and suitability violations. The panel found that JCI and George Carris recklessly sold shares of stock and promissory notes issued by JCI's parent company using misleading statements and by omitting material facts. Andrey Tkatchenko, a registered representative, was suspended for two years and fined $10,000 for recommending the stock and promissory notes without a reasonable basis. JCI and Carris were also expelled and barred for manipulating the price of Fibrocell stock. The panel found that JCI and Carris manipulated the price of Fibrocell stock through unfunded purchases of large blocks of the stock and pre-arranged trading accomplished through reported matched limit orders. Head Trader Jason Barter was suspended for 18 months, fined $5,000 and must re-qualify to enter the securities industry for his role in the manipulation of the Fibrocell stock. The ruling resolves charges brought by FINRA's Department of Enforcement inSeptember 2013.
SEC Adopts Rules To Increase Transparency In Security-Based Swap Market - Commission Also Proposes Additional Security-Based Swap Transaction Reporting Rules And Guidance

Date 14/01/2015

The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs) to register with the SEC and prescribe reporting and public dissemination requirements for security-based swap transaction data. The SEC also proposed certain additional rules, rule amendments and guidance related to the reporting and public dissemination of security-based swap transaction data. The new rules are designed to increase transparency in the security-based swap market and to ensure that SDRs maintain complete records of security-based swap transactions that can be accessed by regulators.