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Securities Commission Malaysia Sues Seven Individuals For Insider Trading

Date 25/05/2017

Securities Commission Malaysia (SC) has filed a civil suit at the Kuala Lumpur High Court against seven individuals for insider trading involving the shares of Worldwide Holdings Bhd (Worldwide), a company previously listed on Bursa Malaysia.
Tokyo Commodity Exchange: Change To Immediately Executable Price Range (DCB Range)

Date 25/05/2017

This is to inform you that Immediately Executable Price Range (DCB Range) for Oil, Chukyo-oil and Rubber markets will be changed as below from the Day Session on the 1st of June 2017. Meanwhile, the DCB Ranges for the Night Session (which starts from 4:30 p.m.) on May 31st, 2017 will remain the current ranges.
MIAX Options: Obvious Errors In Complex Orders

Date 24/05/2017

MIAX Options recently filed with the Securities and Exchange Commission a new harmonized rule, MIAX Options Rule 521, Interpretations and Policies .03, relating to Obvious Errors in complex orders in coordination with the other U.S. options exchanges. MIAX Options Rule 521(l)(5) is being removed from the MIAX Options Rulebook and until that proposed rule change becomes effective, in the event of a conflict between the two rules, the Exchange is advising Members that Rule 521, Interpretations and Policies .03, shall govern the handling of Obvious Errors in complex orders on the Exchange.
Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date May 15, 2017

Date 24/05/2017

At the end of the settlement date of May 15, 2017, short interest in 2,326 Nasdaq Global MarketSM securities totaled 7,420,291,077 shares compared with 7,409,700,882 shares in 2,322 Global Market issues reported for the prior settlement date of April 28, 2017. The mid-May short interest represents 4.42 days average daily Nasdaq Global Market share volume for the reporting period, compared with 5.23 days for the prior reporting period.
CFTC Swaps Report Update

Date 24/05/2017

The CFTC Swaps Report provides a detailed weekly snapshot of the gross notional outstanding as of the penultimate Friday prior to the CFTC Swaps Report’s Wednesday publication date, as well as a detailed weekly total of the transaction volume (on both a ticket volume and dollar volume basis) ending that same penultimate Friday, in two asset classes (interest rate swaps, credit default swaps).

Cordium Announces Expansion Of US Broker-Dealer Services

Date 24/05/2017

Cordium, a market-leading provider of governance, risk and compliance services, today announced an expansion of its compliance services for US and foreign broker-dealers and investment advisers with the launch of a newregulatory hosting solution in the United States. This platform complements the firm’s existing offerings of guiding firms through U.S. Securities and Exchange Commission (‘SEC”) registration and Financial Industry Regulatory Authority, Inc. (“FINRA”) membership and providing ongoing compliance services.
New York State Department of Financial Services Fines BNP Paribas $350 Million For Illegal, Unsafe And Unsound Conduct In Connection With BNP’s Foreign Exchange Trading Business - Foreign Exchange “Cartel” Manipulated Foreign Exchange Rates, Engaged In Collusion, Executed Fake Trades, Coordinated Trading To Enhance Profits At Customers’ Expense, And Improperly Shared Confidential Customer Information For Many Years - DFS Directs Bank To Improve Senior Management Oversight And Risk Management Policies And Procedures

Date 24/05/2017

Financial Services Superintendent Maria T. Vullo today announced that BNP Paribas S.A. (BNPP) and its New York branch will pay a $350 million fine as part of a consent order entered into with the New York State Department of Financial Services (DFS) for significant, long-term violations of New York banking law arising out of the Bank’s global foreign-exchange business. The violations announced today include major deficiencies in the Bank’s oversight that allowed nearly unfettered misconduct by more than a dozen BNPP traders and salespeople.
ESMA Publishes Updated AIFMD And UCITS Q&As

Date 24/05/2017

The European Securities and Markets Authority (ESMA) has published updated questions and answers documents (Q&A) on the application of the Alternative Investment Fund Managers Directive (AIFMD) and the Undertakings for the Collective Investment in Transferable Securities Directive (UCITS).
Mandatory Notification Of Trades - Oslo Børs VPS Holding ASA

Date 24/05/2017

In connection with a monthly share savings plan for employees of subsidiaries, Oslo Børs VPS Holding has sold a total of 2947 shares. New holding is 4958 shares. Employees paid a share price of NOK 109,48 per share, but were allowed a discount of 20% on purchases up to NOK 2500.
Marta Bartolomé Yllera Is Appointed New CFO Of BME

Date 24/05/2017

The Board of Directors of BME has agreed, at its meeting held today, to appoint Marta Bartolomé Yllera CFO of BME, following a report from the company’s Nomination and Remuneration Committee.