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Date 02/07/2024
The Dubai Financial Services Authority Publishes Audit Monitoring Report For Enhanced Audit Oversight
The Dubai Financial Services Authority (DFSA) published today its 8th Audit Monitoring Report, providing key findings from inspections of Registered Auditors conducted in 2022 and 2023.
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Date 02/07/2024
UAE Securities And Commodities Authority Issues A Decision To Regulate The Private Offering Of Debt Securities, Sukuk, And Securitized Instruments As A New Transformational Project
Dr. Maryam Al Suwaidi: The project helps create diversified opportunities and investment instruments and make them readily available to investors, in addition to incentivizing private placement issuers to list locally instead of overseas, thereby enhancing the attractiveness of the national economy.
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Date 02/07/2024
Monetary Authority Of Singapore: Court Convicts Mr Sun Weiyeh, A Former Fund Manager, For Acts Which Were Likely To Defraud Investors
Mr Sun Weiyeh, a former fund manager and director of One Asia Investment Partners (OAIP), was convicted on 11 April 2024 and sentenced today to 6 months’ imprisonment for engaging in acts which were likely to defraud investors. This is the first conviction under the Securities and Futures Act (SFA) for fraudulent or deceptive conduct relating to over-the-counter (OTC) bond trading.
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Date 02/07/2024
Hong Kong Securities And Futures Commission: First District Court Hearing On Insider Dealing Case Against Segantii Capital Management And Its Chief Investment Officer
The District Court today held the first hearing on the insider dealing prosecution against Segantii Capital Management Limited, its director and chief investment officer Mr Simon Sadler, and former trader Mr Daniel La Rocca after the case was being transferred from the Magistrates’ Court (Note 1).
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Date 02/07/2024
Shanghai Futures Exchange: Notice On Investigation And Penalties For Violations Of Relevant Rules And Regulations In June 2024
Shanghai Futures Exchange (hereinafter referred to as “the Exchange”) has been on continuous efforts in investigating and penalizing violations of relevant rules and regulations, so as to strengthen the risk management of the futures market, regulate the futures trading activities and protect the legitimate rights and interests of futures market participants. The enforcement against such violations in June 2024 is listed as follows:
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Date 02/07/2024
Dalian Commodity Exchange Deals With 16 Cases Of Abnormal Trading In June 2024
Dalian Commodity Exchange (DCE) continues to investigate and handle abnormal trading activities and violations for the purposes of performing front-line market supervision responsibilities, regulating futures trading activities, preventing and mitigating market risks and protecting the legitimate rights and interests of market participants. In June 2024, 16 cases of abnormal trading were investigated and handled.
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Date 02/07/2024
Shenzhen Stock Exchange Market Bulletin, June 28, 2024, Issue 19
Click here to download Shenzhen Stock Exchange's market bulletin, issue 19.
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Date 02/07/2024
MIAX Options Exchange - July 1, 2024 Fee Update - Firm Test Bed Extranet Cross Connect Fee
In addition to the fees outlined in the June 28, 2024 Alert, effective July 1, 2024, MIAX Options will assess a monthly fee of $1,000 per dedicated Firm Test Bed Extranet cross connect used by Members and non-Members accessing the MIAX Options Firm Test Bed Environment.
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Date 02/07/2024
Trading Technologies Launches Day-One Connectivity To Abaxx Exchange
Trading Technologies International, Inc. (TT), a global capital markets technology platform provider, announced today that it is now offering its clients access to Abaxx Exchange, a global commodity futures exchange and clearinghouse based in Singapore. The market launched on June 28, with the first trade executed through the TT® platform by StoneX Financial. Clients are able to use TT to trade the exchange's energy and carbon derivatives contracts.
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Date 01/07/2024
Joint Trades To FinCEN: SARs Demand Significant Bank Time, Resources
Suspicious activity reports take up major time and resources at financial institutions far exceeding the government’s estimates, the Bank Policy Institute, the Financial Technology Association, the Independent Community Bankers of America, the American Gaming Association and the Securities Industry and Financial Markets Association wrote in a letter filed today. The trades represent a broad range of institutions that file SARs and experience the significant pressure on resources and time that such efforts require. The SAR filing process goes far beyond rote box-checking – it involves extensive due diligence, investigation and documentation, the trades noted.