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  • Hong Kong's Securities And Futures Commission Reprimands And Fines Law Kwan Ming

    Date 27/09/2013

    The Securities and Futures Commission (SFC) has reprimanded Mr Law Kwan Ming, a licensed representative of UOB Kay Hian (Hong Kong) Limited (UOB), and fined him $50,000 for failing to make and keep a proper record of orders received by mobile phone.   

  • The 23rd Session Of Follow-Up Training Course For Board Of Secretaries Of Main Board Held By Shenzhen Stock Exchange

    Date 27/09/2013

    Recently, Shenzhen Stock Exchange (SZSE) held the 23rd session of follow-up training course for board secretaries of the main board by means of remote video. About 470 board secretaries and securities affair representatives from 228 listed companies attended the training, which centered around the theme of Implementation of Differentiated Review Procedures for Mergers and Acquisitions, and Prevention of Insider Trading and Market Speculation. Cases of insider trading and market speculation involved in M&A, the Differentiated Review Procedures for M&A, the Information Disclosure Express Practice, and ex-post interim report auditing were studied. 

  • ISDA/AFME Response To The EBA’s Second Consultation On Draft RTS For CVA Risk

    Date 27/09/2013

    This letter contains the response of the International Swaps and Derivatives Association, Inc. (“ISDA”) and the Association for Financial Markets in Europe (“AFME”) to the European Banking Authority’s (“EBA”) Consultation Paper Draft Regulatory Technical Standards (“RTS”) on credit valuation adjustment risk for the determination of a proxy spread and the specification of a limited number of smaller portfolios under Article 383 of Regulation (EU) 575/2013 (Capital Requirements Regulation - CRR). The accompanying response is the result of a thorough industry consultation process involving a wide range of industry representatives. It is reflective of the industry consensus on this topic and aims at being as constructive as possible in seeking a proportionate outcome and additional flexibility.

  • STOXX Updates Fast Entry Rules

    Date 26/09/2013

    STOXX Limited, the market-moving provider of innovative, tradable and global index concepts, today announced changes to its fast entry rules in order to better respond to extraordinary market events in a timely and appropriate manner. Changes being announced today are effective immediately and are the result of a review of the methodology and meeting of the STOXX Advisory Board.

  • CFTC Charges New York-Based The Yorkshire Group Inc. And Its Owner, Scott Platto With Engaging In Illegal, Off-Exchange Precious Metals Transactions

    Date 26/09/2013

    The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a civil injunctive enforcement action in the U.S. District Court for the Eastern District of New York against Defendants The Yorkshire Group Inc.(Yorkshire) of Staten Island, New York, and its sole owner, Scott Platto, also of Staten Island. The CFTC Complaint, filed on September 25, 2013, charges the Defendants with engaging in illegal, off-exchange financed transactions in precious metals with retail customers. The Complaint further alleges that Platto, as the owner, operator, and controlling person of Yorkshire, is liable for Yorkshire’s violations of the Commodity Exchange Act (CEA)

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