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  • Shenzhen Stock Exchange Market Bulletin 28 October, 2013 - Issue 21

    Date 29/10/2013

    From 21 to 25 October, Shenzhen Component Index lost 4.7% and closed at 8379.6 points. SME Index closed at 5011.1 points after falling 4.7%. ChiNext Index was down 6.0% and closed at 1269.2 points. Total turnover for stocks and funds on SZSE was US$106.1 bn, or a 2.7% decrease from the week before.

  • ISDA Chairman Stephen O'Connor's Presentation At The 2013 ISDA Regional Conferences In Asia

    Date 28/10/2013

    DateTitle / DescriptionDocuments
    October 28, 2013
    ISDA Chairman Stephen O'Connor's presentation at the 2013 ISDA Regional Conferences in Asia
    Chairman’s Remarks at the ISDA Regional Conferences, October 2013 in Sydney, Hong Kong and Tokyo. (Text of remarks / slide deck)
    SOC Asia Remarks 2013 final.pdfSOC Asia Presentation Oct2013 final.pdf

  • Rick Ketchum, FINRA Chairman And Chief Executive Officer - SIFMA C&L New York Regional Seminar - A New Day In Regulation Of tThe Financial Markets

    Date 28/10/2013

    Thank you, Jerry [Baker], for that introduction and for the invitation to join you here today. 

    I want to talk to you this morning about the regulatory challenges facing FINRA. Specifically, I want to talk about how technology—and the data it allows us to see—is evolving the way we regulate the markets. Already, there are a number of technological resources—especially in the areas of data, risk analytics and surveillance—that are changing the way FINRA and other regulators examine firms and oversee the markets. We are at the very early stages of this still-new era of big data and cloud computing, but the transformative potential for regulation is very promising. We envision a "new day" in regulation—where, using the power of big data and technology, we can see information in a new way, and better protect investors.

  • New EMIR Counterparty Classification Tool Launched On ISDA Amend To Help Businesses Comply With EMIR

    Date 28/10/2013

    The International Swaps and Derivatives Association, Inc. (ISDA), The British Bankers Association (BBA), The Investment Management Association (IMA) and Markit today announced the launch of the EMIR Counterparty Classification Tool on ISDA Amend, the online service from ISDA and Markit that facilitates compliance with certain European Market Infrastructure Regulation (EMIR) and other regulatory requirements.

  • FINRA Issues New Investor Alert: Closed-End Fund Distributions: Where Is The Money Coming From?

    Date 28/10/2013

    The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Closed-End Fund Distributions: Where Is the Money Coming From? to explain what closed-end funds are, how they differ from traditional mutual funds, what a distribution rate is and what to ask before investing. Closed-end funds have become popular investments because some offer high distribution rates—as high as 6 percent or more. However, investors should be aware that a fund's distribution rate is not the same thing as its return—even if the numbers might look similar. Closed-end funds typically pay distributions to investors on a monthly or quarterly basis, and may increase or decrease the distribution rate from one distribution period to the next.