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Hong Kong's Securities And Futures Commission: Restoration Order Against former Banker Du Jun Finalised

Date 14/01/2014

The court order for Mr Du Jun, a former managing director of Morgan Stanley Asia Limited, to pay $23.9 million to 297 investors as a result of his insider dealing has become absolute after no application to vary the order was made.
ASIC Chairman Releases IOSCO Travel Spending And 2014 Travel Agenda

Date 14/01/2014

ASIC today released details of its expenditure on international travel by Chairman Greg Medcraft during 2013.
Dalian Commodity Exchange Opens Public Wechat Platform

Date 14/01/2014

In order to improve the information disclosure, set up an authoritative, timely and convenient platform of interaction and communication between Dalian Commodity Exchange (DCE), the public and the market, meet the demands of the public and the market for related information of DCE and effectively serve the market and the investors, on January 9, DCE officially opened the public Wechat platform with the account of “Dalian Commodity Exchange” (including the service code and the subscription code of the account). It is learnt that DCE will disclose the information related to self-discipline and supervision, service initiatives, market work and activities and other aspects on the public platform while actively responding to the issues of market concern. The public may follow the account by searching the Wechat codes of dceweixin (subscription code) and dcechina (service code) or “Dalian Commodity Exchange” in the Wechat address list or logging onto the official website of DCE to scan the two-dimensional code. After the opening of the public Wechat platform, the first pieces of information released on Wechat by DCE are the second training session on options and the “Zhangshang Qiquan (Handheld Options)” going on line.
Shenzhen Stock Exchange Market Bulletin 13 January, 2014 - Issue 2

Date 14/01/2014

From 6 to 10 January, Shenzhen Component Index closed at 7648.0 points after losing 4.7%. SME Index jumped 4.1% and closed at 4860.3 points. ChiNext Index stayed at 1353.3 points. Total turnover for stocks and fundson SZSE was US$83.8 billion, or a 27.2% increase from the week before.
SIFMA Statement On The New Compliance Date For SEC Muni Advisor Registration Rules

Date 14/01/2014

SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, after the Securities and Exchange Commission (SEC) announced a new date for compliance with final Municipal Advisor Registration Rules:

CFTC Charges Florida-Based Vertical Integration Group LLC And Its Owners, Richard V. Morello And Junior Alexis, With Engaging In Illegal, Off-exchange Commodity Transactions

Date 13/01/2014

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 Southern District of Florida against Vertical Integration Group LLC (Vertical) of Lake Worth, Florida, its owner, Richard V. Morello of Lake Worth, Florida, and Junior Alexis of Boynton Beach, Florida. The CFTC Complaint charges the Defendants with engaging in illegal, off-exchange financed transactions in precious metals with retail customers.
Three Former Rabobank Traders Charged With Manipulating Yen Libor

Date 13/01/2014

Two former Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (Rabobank) Japanese Yen derivatives traders and the trader responsible for setting Rabobank’s Yen London InterBank Offered Rate (LIBOR) were charged as part of the ongoing criminal investigation into the manipulation of LIBOR.
CFTC Staff Issues No-Action Relief From The Limitation On The Holding Of Customer Funds Outside Of The United States Under Regulation 30.7(c)

Date 13/01/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action letter that provides relief with respect to compliance with certain provisions of Regulation 30.7(c) that restricts a futures commission merchant (FCM) from holding customer funds deposited to margin, guarantee, or secure foreign futures and foreign options transactions in jurisdictions outside of the United States (U.S.) in excess of 120 percent of total margin requirements.
Direct Edge Trading Notice #14-02: Market Holiday Reminder - Martin Luther King, Jr. Day

Date 13/01/2014

EDGA Exchange, Inc.^SM (EDGA^®) and EDGX Exchange, Inc.^SM (EDGX^®) will be closed on Monday, January 20, 2014, in observance of Martin Luther King, Jr. Day. Both exchanges will resume normal trading hours on Tuesday, January 21, 2014.
Paula Sausville Arthus Appointed President And CEO Of OMGEO - Marianne Brown Steps Down As CEO To Pursue New Opportunities

Date 13/01/2014

The Depository Trust & Clearing Corporation (DTCC) today announced that Paula Sausville Arthus has been appointed President and CEO of Omgeo, the global standard for post-trade efficiency dedicated to providing the financial community with efficient trade processing, risk mitigation and operational stability. Ms. Arthus succeeds Marianne Brown who steps down from the role on February 21 to pursue other business opportunities. A highly-respected industry leader, Ms. Arthus brings more than 25 years of experience in the financial industry to this role. She reports to Andrew Gray, Managing Director and head of Core Business Management, DTCC.