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Shanghai Futures Exchange: Notice On The Adjustments To The Transaction Fees For Closing Out Intra-Day’s Positions In Relevant Futures Contracts On Nickel

Date 26/09/2017

Upon our consideration, it has been decided that effective as of September 25, 2017 (i.e. the trading session on the night of September 22, 2017), the transaction fees for close-out of intra-day’s positions in NI1801 contracts shall be adjusted from RMB 18 yuan per lot to RMB30 yuan per lot.
SGX To Report 1Q FY2018 Results On 25 October

Date 26/09/2017

Singapore Exchange (SGX) is reporting its first-quarter (1Q) results for Financial Year 2018 (FY2018) after the marketcloses on 25 October 2017.
Shanghai Futures Exchange: Notice On The Imposition Of Trading Limit On Relevant Nickel Contracts

Date 26/09/2017

Upon our consideration, it has been decided that the following measures shall be made to the trading of nickel products in accordance with the Risk Management Rules of Shanghai Futures Exchange:
Rules For Private Placement Of Convertible Bonds By Innovative Companies And Start-ups (For Trial Implementation) Promulgated By SZSE, NEEQ And CSDC

Date 26/09/2017

To better implement the strategy of innovation-driven development, and to give full play to the active role of the bond market of the stock exchange in promoting innovation and entrepreneurship and serving the real economy, China Securities Regulatory Commission (“CSRC”) recently released the Guidance of CSRC on Launching Pilot Bond Projects by Innovative Companies and Start-ups ( “Guidance”). As per the arrangements of CSRC, Shenzhen Stock Exchange (“SZSE”), National Equities Exchange and Quotation Co., Ltd. (“NEEQ”) and China Securities Depository and Clearing Co., Ltd. (“CSDC”) formulated and promulgated the Rules for Private Placement of Convertibles Bonds by Innovative Companies and Start-ups (for Trial Implementation, hereinafter as “the Implementing Rules”).
Speech Of James McDonald, Director Of The Division Of Enforcement Commodity Futures Trading Commission Regarding Perspectives On Enforcement: Self-Reporting And Cooperation At The CFTC - NYU Program On Corporate Compliance & Enforcement / Institute For Corporate Governance & Finance

Date 26/09/2017

Thank you for that introduction. I’m happy to be here with you all today. I want to talk today about some of our priorities for the CFTC’s Division of Enforcement, and in particular about our cooperation and self-reporting program. In just a minute, I’ll talk in some detail about this program. But to frame that discussion, I want to start by talking more generally about our mission in the CFTC and the Division of Enforcement, and some of our priorities going forward. As I get started, please keep in mind that these are my own views and not necessarily those of the Commission or its staff.

VIX Options Set New Daily Volume Record

Date 26/09/2017

CBOE Holdings, Inc. (BATS: CBOE | NASDAQ: CBOE) said today that trading volume in options on the CBOE Volatility Index® (VIX®) reached a new all-time high on Monday, September 25.
SEC Announces Enforcement Initiatives To Combat Cyber-Based Threats And Protect Retail Investors

Date 26/09/2017

The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to address cyber-based threats and protect retail investors. The creation of a Cyber Unit that will focus on targeting cyber-related misconduct and the establishment of a retail strategy task force that will implement initiatives that directly affect retail investors reflect SEC Chairman Jay Clayton’s priorities in these important areas.
Thomson Reuters Boosts Quantification Of Corporate News With NEWSFUL App In Eikon - NEWSFUL, From Sigma News Ventures, Models And Explains The Link Between Corporate News And Share Price Change To Give Market Professionals A New Edge

Date 25/09/2017

Thomson Reuters has enhanced its news processing capabilities with the addition of NEWSFUL, an app that gives the buy and sell side new intelligence on what business events are driving share price change. Newsful is available via App Studio on Eikon, Thomson Reuters flagship desktop product.
CFTC’s Division Of Market Oversight Extends Existing Relief And Provides Additional Relief For Reporting Parties From Reporting Obligations As Required By The OCR Final Rule

Date 25/09/2017

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) today issued a no-action letter (CFTC Staff Letter 17-45) that extends current relief and provides additional relief to reporting parties from reporting obligations as required by the ownership and control reports (OCR) final rule (OCR Final Rule).
FINRA Sanctions Morgan Stanley $13 Million In Fines And Restitution For Failing To Supervise Sales Of UITs

Date 25/09/2017

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney LLC $3.25 million and required the firm to pay approximately $9.78 million in restitution to more than 3,000 affected customers for failing to supervise its representatives’ short-term trades of unit investment trusts (UITs).