FTSE Mondo Visione Exchanges Index:
News Centre
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Hong Kong Securities And Futures Commission: First District Court Hearing On Insider Dealing Case Against Segantii Capital Management And Its Chief Investment Officer
Date 02/07/2024
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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Shanghai Futures Exchange: Notice On Investigation And Penalties For Violations Of Relevant Rules And Regulations In June 2024
Date 02/07/2024
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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Dalian Commodity Exchange Deals With 16 Cases Of Abnormal Trading In June 2024
Date 02/07/2024
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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Shenzhen Stock Exchange Market Bulletin, June 28, 2024, Issue 19
Date 02/07/2024
Click here to download Shenzhen Stock Exchange's market bulletin, issue 19.
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MIAX Options Exchange - July 1, 2024 Fee Update - Firm Test Bed Extranet Cross Connect Fee
Date 02/07/2024
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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Trading Technologies Launches Day-One Connectivity To Abaxx Exchange
Date 02/07/2024
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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Joint Trades To FinCEN: SARs Demand Significant Bank Time, Resources
Date 01/07/2024
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.
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The Hitchhiker’s Guide To ESG: Remarks At Annual US-Central And Eastern European Connection Weekend, SEC Commissioner Hester M. Peirce, Washington D.C., June 29, 2024
Date 01/07/2024
Thank you, Lukasz [Chyla],for that introduction. And thank you to the Jagiellonian University and to Catholic University for hosting this conference. Let me begin by stating that my views are my own as a Commissioner and not necessarily those of the U.S. Securities and Exchange Commission or my fellow Commissioners.
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Federal Reserve Board Fines Silvergate Capital Corporation And Silvergate Bank $43 Million For Deficiencies In Silvergate’s Monitoring Of Transactions In Compliance With Anti-Money Laundering Law
Date 01/07/2024
The Federal Reserve Board on Monday fined Silvergate Capital Corporation and Silvergate Bank $43 million for deficiencies in Silvergate's monitoring of transactions in compliance with anti-money laundering laws.
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Statement On The Registration For Index-Linked Annuities And Registered Market-Value Adjustment Annuities, SEC Commissioner Mark T. Uyeda
Date 01/07/2024
While the universe of securities is broad, the Securities Act of 1933 (“Securities Act”) generally requires that any offer or sale of a security to the public be registered with the Commission. For that reason, the Commission should take steps to ensure that registration statement disclosure is material and informative to prospective purchasers. By the same token, the Commission should avoid requiring disclosures that are irrelevant and distract readers from the important information.
