FTSE Mondo Visione Exchanges Index:

News Centre

News

SGX Launches Long Dated Orders For Securities

Date 01/08/2013

Singapore Exchange (SGX) has launched long dated order types, allowing investors to retain buy or sell orders for longer than the usual one day.
Hong Kong’s Securities And Futures Commission: Premature Selling Of Placing Shares May Constitute Illegal Short Selling

Date 01/08/2013

Investors and intermediaries could face criminal prosecution for illegal short selling if they sell placing shares before completion of a placement, the Securities and Futures Commission (SFC) said today.
The Future Of Financial Regulation - Speech By Greg Medcraft, Chairman ASIC

Date 01/08/2013

A speech by Greg Medcraft, Chairman Australian Securities and Investments Commission at the Financial Services Council (FSC) Annual Conference, 31 July 2013
Tokyo Commodity Exchange: Final Settlement Price Of Crude Oil For July 2013 Contract

Date 01/08/2013

Final settlement price of Middle East Crude Oil for July 2013 contract is 64,960 yen.
MIAX Options Exchange: Allowing All Lead Market Makers To Receive Directed Orders and Amendments To The MIAX Marketing Fee Program - Effective On August 1, 2013

Date 31/07/2013

Regulatory Circular 2013-50 describes a change to Rule 514(h) to allow Lead Market Markers (“LMMs”) to receive Directed Orders and also to amend the MIAX Options Fee Schedule to allocate applicable Marketing Fees to certain qualifying LMMs.

SEC Adopts Rules To Increase Protections For Investors With Assets Being Held By Broker-Dealers

Date 31/07/2013

The Securities and Exchange Commission today announced the adoption of rules designed to substantially increase protections for investors who turn their money and securities over to broker-dealers registered with the SEC.
CalPERS Announces Selection Of IT Chief Information Officer

Date 31/07/2013

The California Public Employees' Retirement System (CalPERS) has named Liana Bailey-Crimmins as its Chief Information Officer (CIO) of the recently reorganized Information Technology Services Branch (ITSB). She will begin her new role at CalPERS on August 5.
SEC Adopts Amendments To Financial Responsibility Rules For Broker-Dealers

Date 31/07/2013

The Securities and Exchange Commission today announced the adoption of amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers.
CFTC Division Of Clearing And Risk Issues Notice Regarding Expiration Of Cross-Border Exemptive Relief From The Clearing Requirement

Date 31/07/2013

The Commodity Futures Trading Commission’s (CFTC) Division of Clearing and Risk announced today that on October 9, 2013, certain exemptive relief regarding the Clearing Requirement is scheduled to expire. As of October 10, 2013, exemptive relief from the Clearing Requirement will no longer be available for an entity that is covered as a U.S. person under the CFTC’s interpretive guidance and policy statement regarding the cross-border application of the swaps provisions of the Commodity Exchange Act, including certain collective investment vehicles organized outside of the United States. Additionally, on October 10, 2013, staff anticipates the following transactions to be submitted for clearing with a registered derivatives clearing organization (DCO) (unless an exception, exemption, or other relief from the Clearing Requirement is available): (1) all transactions by foreign branches of U.S. banks that are registered swap dealers (SDs) or major swap participants (MSPs), (2) transactions by SDs and MSPs that are not U.S. persons with guaranteed affiliates or affiliate conduits of U.S. persons (established in any jurisdiction outside the U.S.) that are not SDs or MSPs, or with foreign branches of U.S. banks that are registered SDs or MSPs, and (3) guaranteed affiliates or affiliate conduits of U.S. persons (established in any jurisdiction outside the U.S.) that are not SDs or MSPs, for transactions with other such entities.*
SEC Sanctions Two Investment Advisers For Best Execution Failures

Date 31/07/2013

The Securities and Exchange Commission today sanctioned two investment advisory firms for failing to seek best execution on client trades placed with their in-house brokerage divisions.