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  • Dalian Commodity Exchange Releases Management Measures On Futures Trader Suitability

    Date 06/06/2019

    Dalian Commodity Exchange (DCE) released the Management Measures on Futures Trader Suitability of Dalian Commodity Exchange on May 30 after combining the trader suitability systems for options and specified futures products, adjusting and optimizing the contents of suitability management such as basic knowledge and trading experience, increasing the mutual recognition of suitability assessment, and expanding the scope of exempted clients. The previous Management Measures of Dalian Commodity Exchange for Suitability of Traders of Specified Domestic Futures Products and the Management Measures of Dalian Commodity Exchange for Options Investor Suitability  were abolished simultaneously.

  • Japan's Financial Services Agency: Publication Of “Principles Regarding The Disclosure Of Narrative Information”

    Date 06/06/2019

    Following the proposal by the “Working Group on Corporate Disclosure“ of the Financial System Council, which was published on June 28, 2018, in order to encourage corporate initiatives toward the enhancement of corporate disclosure, the FSA published the finalized "Princinples Regarding the Disclosure of Narrative Information".

  • Circular Of Shanghai International Energy Exchange On Trading Adjustments Of Crude Oil Futures Contracts For The Dragon Boat Festival 2019

    Date 06/06/2019

    Shanghai International Energy Exchange (hereinafter referred to as “INE”), the subsidiary of Shanghai Futures Exchange has released its Circular on Trading Adjustments of Crude Oil Futures Contracts for the Dragon Boat Festival 2019 on June 3, 2019 as follows:

    1. The market will be closed from 3:00 p.m. of June 6, 2019 to June 9, 2019. The market will resume trading on June 10, 2019 with the central auction session from 8:55 a.m. to 9:00 a.m. and the continuous trading on the night of that day.
    2. If the Limit-locked market does not occur on June 5, 2019, INE will adjust the trading margin rate to 10% of the contract value and the price limit to ±8% from the settlement price of that day since the daily clearing process begins.

  • Shanghai Stock Exchange Circulates Notice Of Criticism To Corporate Bond Issuers

    Date 06/06/2019

    To continuously strengthen the front-line regulation and urge market participants to take responsibility, the Shanghai Stock Exchange (SSE) recently circulated a notice of criticism against corporate bond issuers, including Fuguiniao Co., Ltd., Wuxi Wuzhou International Decoration City Co., Ltd., Hongye Chemical Group Co., Ltd., CEFC Shanghai International Group Co., Ltd., Bright Oceans Group Co., Ltd. and Dandong Port Group Co., Ltd.


  • SEC Adopts Rules And Interpretations To Enhance Protections And Preserve Choice For Retail Investors In Their Relationships With Financial Professionals

    Date 05/06/2019

    The Securities and Exchange Commission today voted to adopt a package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers, bringing the legal requirements and mandated disclosures in line with reasonable investor expectations, while preserving access (in terms of choice and cost) to a variety of investment services and products.  Specifically, these actions include new Regulation Best Interest, the new Form CRS Relationship Summary, and two separate interpretations under the Investment Advisers Act of 1940.