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Hong Kong’s Securities And Futures Commission Reprimands And Fines Noah Holdings (Hong Kong) Limited HK$5 Million For Regulatory Breaches

Date 29/05/2018

The Securities and Futures Commission (SFC) has publicly reprimanded and fined Noah Holdings (Hong Kong) Limited (Noah HK) HK$5 million over Noah HK’s internal system and control failures in its sale and distribution of investment products.
National Stock Exchange Of India Statement - Petition Against SGX Launch Of SGX India Futures, SGX Options On SGX India Futures And SGX India Bank Futures

Date 29/05/2018

NSE's Index company filed a petition before the Hon’ble Bombay High Court against the Singapore Exchange Limited (SGX) under Section 9 of the Arbitration Act seeking urgent interim reliefs against the marketing, promotion and launch of three new contracts called SGX India Futures, SGX Options on SGX India Futures and SGX India Bank Futures, in terms of its circular dated April 11 2018.
Risk Focus Adds New Head Of Partner Strategy

Date 29/05/2018

Risk Focus Inc., the leading provider of Financial Services and DevOps Solutions, today announced Randy Howie will be joining the company as Head of Partner Strategy. Randy has been in the technology industry for over three decades and he was the founder and CEO of Black Diamond Software, a Fortune 1000 companies’ trusted partner and leader in DevOps transformation.
Red Deer Selected By Close Brothers Asset Management To Support MiFID II Processes

Date 29/05/2018

Red Deer, a financial technology company dedicated to enhancing the performance of active investment managers, is pleased to announce that Close Brothers Asset Management, a leading wealth manager, has improved its MiFID II processes by implementing Red Deer’s Research Management solution to better manage its research budgets and enforce stricter controls around inducement across its investment business.
Traders Split On Success Of MiFID II - Latest Trader Survey By SIX Shows Disagreement Over Success Of Mifid II And Divided Opinions Where Dark Liquidity Will Shift To

Date 29/05/2018

Traders disagree over whether MiFID II has been successful, according to new research by SIX. A combined 70% of surveyed traders of the Swiss exchange believe that trading has become more transparent - a key goal of MiFID II.

Finansinspektionen: Risks Can Build Up When The Economy Is Strong

Date 29/05/2018

The Swedish economy continues to be strong, and resilience in the financial system is satisfactory. However, a long period of low interest rates and strong growth has resulted in an elevated risk appetite, high asset prices and high debt globally. This makes the financial sector more sensitive to shocks, writes Finansinspektionen (FI) in the first Stability Report of the year, which is being presented today.
BMO Financial Group Issues Statement

Date 28/05/2018

On Sunday, May 27, fraudsters contacted BMO claiming that they were in possession of certain personal and financial information for a limited number of customers. We believe they originated the attack from outside the country. We took steps immediately when the incident occurred and we are confident that exposures identified related to customer data have been closed off. We have notified and are working with relevant authorities as we continue to assess the situation. We are proactively contacting those customers that may have been impacted and we will support and stand by them. BMO has strong and robust processes in place to protect customer data and we take customer privacy very seriously. Customers are recommended to monitor their accounts and notify BMO with any suspicious activity.
ESMA Publishes Final Guidelines On MiFID II Suitability Requirements

Date 28/05/2018

The European Securities and Markets Authority (ESMA) has published its Final Report on Guidelines on certain aspects of the MiFID II suitability requirements.
Monetary Authority Of Singapore: Improving Transparency On Short Selling Activities In Singapore

Date 28/05/2018

The Monetary Authority of Singapore (MAS) will require investors to report their short positions and short sell orders in securities listed on the Singapore Exchange (SGX), with effect from 1 October 2018. This will improve transparency on short selling activities in the securities market and enable investors to make more informed trading decisions.
ESMA: Links To National Websites Where Net Short Positions In Shares Are Disclosed

Date 28/05/2018

According to Article 9 of Regulation (EU) No 236/2012 on short selling and certain aspects of credit default swaps, net short position in shares should be publicly disclosed on a central website operated or supervised by the relevant competent authority. The address of that website should be communicated to ESMA, which should post on its own website.