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ESMA Reviews Pre-Trade Transparency Waivers To Ensure Consistent MiFID Application

Date 26/03/2012

ESMA today publishes a revision of its waiver document (ESMA/2011/241) which provides information on the pre-trade transparency of trading systems already set up in the European Union and informs on the compliance of such systems with MiFID, the Markets in Financial Instruments Directive. Pre-trade transparency is an integral feature of MiFID.
UK's Financial Services Authority Fines Coutts £8.75 Million For Anti-Money Laundering Control Failings

Date 26/03/2012

The Financial Services Authority (FSA) has fined Coutts & Company (Coutts) £8.75 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) systems and controls relating to high risk customers, including Politically Exposed Persons (PEPs).
Cyprus Stock Exchange Monthly Bulletin - February 2012

Date 26/03/2012

Please click here to view the Cyprus Stock Exchange Monthly Bulletin for February 2012.
HKEx: Forfeiture Of Unclaimed Final Dividend For 2005

Date 26/03/2012

Pursuant to the Articles of Association of Hong Kong Exchanges and Clearing Limited (HKEx), the unclaimed final dividend for 2005 will be forfeited and will revert to HKEx on 8 May 2012.
Call For Candidates For The Consultative Working Group Of The ESMA Secondary Markets Standing Committee - Deadline For Applications: 23 April 2012

Date 26/03/2012

ESMA today launches a call for candidates interested in becoming a member of the Consultative Working Group (CWG) of the ESMA Secondary Markets Standing Committee. The CWG advises and assists the Standing Committee in all matters related to ESMA work on secondary markets, in particular in relation to issues in the context of the review of the Markets in Financial Instruments Directive.

For further information on how to apply, please refer to the call for candidates itself.

Tokyo Stock Exchange: Regarding News Reports That TOKYO AIM Will Be Dissolved

Date 26/03/2012

Today, some media outlets reported that Tokyo Stock Exchange (TSE) and London Stock Exchange's joint-operation of TOKYO AIM (a market for profession investors) will be dissolved and that TSE will assume sole operations of the exchange.
Thai Bourse, SEC Support M&A To Promote Competitiveness

Date 26/03/2012

Deputy Prime Minister and Minister of Finance Kittiratt Na-Ranong said mergers and acquisitions (M&A) are important for businesses at all levels and is a key agenda topic to increase the country’s competitiveness.
Shenzhen Stock Exchange Holds Cross-Market ETF Business Seminar

Date 26/03/2012

On March 23, 2012, Shenzhen Stock Exchange held the cross-market ETF business seminar. Some people from securities companies, the relevant persons in charge of the case from Shenzhen Stock Exchange, China Securities Depository and Clearing Corp. Limited and Harvest Fund Management Co., Ltd. attended the seminar. The attendants made the full discussion in terms of the important significance of SZSE rolling out SSE SZSE 300ETF product, improving the supporting rules and systems and thereby market opportunities and so forth.
China: Three Futures Exchanges Issued Risk Control Measures During Qingming Holiday

Date 26/03/2012

With approaching of the Qingming Holiday and in order to effectively control market risk in the holiday period, three domestic commodity or futures exchanges on March 22 issued notices to change margin ratios as well as upper and lower price fluctuation limits on relevant futures products.
SFAT Affirms Hong Kong's Securities and Futures Commission’s Decision To Ban Ramesh Kumar Chuharmal Sadhwani

Date 26/03/2012

The Securities and Futures Commission (SFC) has banned Mr Ramesh Kumar Chuharmal Sadhwani, a former licensed representative of Citigroup Global Markets Asia Limited (Citi Asia), from re-entering the industry for 10 years from 23 March 2012 to 22 March 2022.