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Keynote Address By CFTC Commissioner Scott D. O’Malia, Setting Priorities And Fixing Broken Rules Must Be Commission’s First Order Of Business In 2014, 9th Annual FIA Asia Derivatives Conference. The St. Regis, Singapore

Date 04/12/2013

Thank you very much for the kind introduction and for inviting me to speak here today.
Gui Minjie Governor Of The Shanghai Stock Exchange: Launching More Convenient, Flexible Trading Mechanism For Big-cap Blue Chips

Date 04/12/2013

Gui Minjie, Governor of the Shanghai Stock Exchange (SSE), said at the 4th SSE Legal Forum that the SSE would base itself on the orientation of organizing, serving, and managing the market and, with the spirit of reform, accelerate the construction of the SSE market. The key of its reform and construction would be in the two fields of the market system and the opening-up, which included the SSE’s four strategies, that is, making the blue chip market bigger and stronger, promoting the great-leap-forward development of the bond market, breaking through the development bottleneck of securities derivatives, and enhancing the openness of the market. And with regard to the strategy of breaking through the development bottleneck of securities derivatives, the preparatory work for individual-stock-option-related business lines, rules, techniques, and market mobilization had been ready after a long time of efforts, and the time had come and the conditions had been ripe for launching.
Shanghai Stock Exchange , Fund Companies Hold Discussion: Implementing Requirements Of 3rd Plenary Session, Boosting Fund Industry’s Growth

Date 04/12/2013

On the morning of November 26, the Shanghai Stock Exchange (SSE) organizes 8 fund companies (E Fund, Fortune SG, Bosera Funds, Guotai AMC, China International Fund Management, Hua’an Funds, China Universal Asset Management, and Huatai-PineBridge) and holds the “Symposium on Implementing the Requirements of the 3rd Plenary Session of the 18th CPC Central Committee (the 3rd Plenary Session for short) and Boosting the Growth of Fund Industry”. At the symposium, all the fund companies exchange their attainments in learning the requirements put forward at the 3rd Plenary Session and talk about their experience in speeding up the industry development and innovation. They also have in-depth communication on some innovation subjects.
Remarks At Transatlantic Corporate Governance Dialogue Conference: The Realities Of Stewardship For Institutional Owners, Activist Investors And Proxy Advisors, SEC Commissioner Daniel M. Gallagher, Washington, DC, Dec. 3, 2013

Date 03/12/2013

Thank you Professor [Gordon] for your very kind introduction, and thank you to the organizers for inviting me to speak today. The exchange of ideas at conferences such as this is incredibly important, and today's conference is especially timely given that the Commission is holding a roundtable to discuss the role of proxy advisors two days from now. I hope that on Thursday, and in our subsequent analysis of necessary reforms, the Commission can draw upon some of the discussions that are taking place today.
CFTC: Federal Court In California Orders James D. Crombie To Pay Over $1.5 Million For Misrepresentations To The National Futures Association And For Solicitation Fraud

Date 03/12/2013

The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court Order against defendant James D. Crombie of Virginia, requiring him to pay $789,540.47 in restitution to defrauded customers and a civil monetary penalty of $750,000. Crombie’s fraudulent scheme involved making false statements and providing false documents to the National Futures Association (NFA) and fraudulently soliciting funds for his former company, Paron Capital Management, LLC (Paron). The Order also imposes permanent trading and registration bans against Crombie and prohibits him from violating the Commodity Exchange Act, as charged.

FinCEN, Federal Reserve Finalize Rule Amending Definitions In The Bank Secrecy Act

Date 03/12/2013

The Financial Crimes Enforcement Network (FinCEN), a bureau of the U.S. Department of the Treasury, and the Federal Reserve Board on Tuesday announced a final rule amending the definitions of "funds transfer" and "transmittal of funds" under regulations implementing the Bank Secrecy Act. The final rule adopts the amendments as proposed in November 2012.
Remarks At The 10th Annual Transatlantic Corporate Governance Dialogue, SEC Chair Mary Jo White, Washington, D.C., Dec. 3, 2013

Date 03/12/2013

I am honored to open this program and welcome you to Washington and the Securities and Exchange Commission. An exceptionally distinguished group of speakers and panelists have gathered to participate in this year’s conference and I am sure the discussions will be lively and very productive. I would like to extend a special welcome to Minister Counselor Simonas Šatūnas, representing the European Union Presidency, and Ugo Bassi, representing the European Commission.
BOX Price Improvement Activity For November

Date 03/12/2013

In the month of November, price improved contracts on BOX Options Exchange (“BOX”) averaged 145,352 per day. Price improvement versus the prevailing NBBO for contracts submitted via BOX’s price improvement auction, PIP, averaged $229,865 per day, while total savings to investors this month was $4.6 MM. With this, BOX has saved investors over $462 MM since its inception in 2004. Overall average daily trading volume on BOX in the month of November was 347,185 contracts.
NZX November 2013 Shareholder Metrics

Date 03/12/2013

Please find attached Shareholder Metrics for November 2013.
Shenzhen Stock Exchange Market Bulletin 2 December, 2013 - Issue 26

Date 03/12/2013

Last week, Shenzhen Component Index stood at 8542.6 points after gaining 1.5%. SME Index edged up 2.4% and stayed firm at 5121.6 points. ChiNext Index marched 5.5% to 1366.8 points. Total turnover for stocks and funds on SZSE was US$97.5 billion, or a 2.0% increase from the week before.