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FSB-IOSCO Roundtable On Compensation Practices In The Securities Sector

Date 06/04/2017

This note provides a summary and main takeaways from a roundtable organised jointly by the FSB and the International Organization of Securities Commissions (IOSCO) on compensation practices in the securities sector on 13 December 2016.
Singapore Exchange Regulation Appoints Tan Cheng Han Chairman

Date 06/04/2017

Singapore Exchange (SGX) has established Singapore Exchange Regulation Pte. Ltd. (SGX RegCo) as an independent regulatory subsidiary of SGX. SGX RegCo is appointing Professor Tan Cheng Han as chairman and will commence operations in the third quarter of 2017.
ESMA Promotes Common Approach To Rules Supporting The Use Of Smaller CRAs

Date 06/04/2017

The European Securities and Markets Authority (ESMA) has issued a Supervisory Briefing to national Sectoral Competent Authorities (SCAs), regarding the application of Articles 8(c) and (d) of the CRA Regulation (Regulation), to assist them with their supervision and enforcement of these provisions and promote supervisory convergence through adoption of a common supervisory approach.
DGCX Sees Brisk Trading As Brexit Negotiations And European Election Volatility Intensifies

Date 06/04/2017

The region’s largest derivatives bourse, the Dubai Gold and Commodities Exchange (DGCX), saw brisk trading in the month of March, with volumes aggregating to 1.4 million contracts, valued at USD $33.5 bn. The Average Daily Volumes touched 61,471 contracts in March, with a high of 143,312 on March 27th.
The Egyptian Exchange (EGX) Monthly Statistical Report March 2017

Date 06/04/2017

Listing

Total number of listed companies on the main market amounted to 224 at the end of March 2017. Meanwhile, the number of listed companies on Nilex reached 33 at the end of the month.

Cobalt DL Secures LMRKTS As Multi-Lateral Compression Partner On Their New BlueSky Service - Cobalt DL Launches BlueSky, Enabling Third Party Providers To Offer Complementary Services From Its Reconciled Data

Date 06/04/2017

Cobalt DL (Cobalt), the FX post-trade processing network based on distributed ledger technology, today announced a partnership with LMRKTS, who will be the first firm to offer services on its revolutionary BlueSky service, the shared ledger component of Cobalt’s platform.
Neptune Continues Expansion With Integration Into FlexTrade’s Buy-Side EMS Platform - The Fixed Income Market Network Is Now Connected To Its Latest OMS/EMS Provider To Offer The Buy-Side Greater Access To Liquidity Through Best-Of-Breed Price Discovery Tools

Date 06/04/2017

Neptune Networks Ltd., the fixed income market network for pre-trade indications in bonds, today announced that it has completed connectivity to FlexTrade’s buy-side EMS platform, FlexTRADER, to distribute high quality, pre-trade data to assist investors with liquidity and price discovery within existing workflows.
Hong Kong's Securities And Futures Commission: MMT Sanctions Mayer Holdings Limited And Its Current And Former Senior Management For Late Disclosure Of Inside Information

Date 06/04/2017

The Market Misconduct Tribunal (MMT) today fined Mayer Holdings Limited (Mayer) and nine of its current and former senior executives a total of $10.2 million after they were found to have failed to disclose inside information as soon as reasonably practicable as required under the Securities and Futures Ordinance (SFO).
Moscow Exchange: Non-Bank Companies Make First Ever FX Trades Through Direct Market Access

Date 06/04/2017

Rosneft and Alrosa have become the first ever corporates to obtain direct market access (DMA) and trade on Moscow Exchange's FX Market.
Hong Kong's Securities And Futures Commission Reprimands And Fines Guoyuan Securities Brokerage (Hong Kong) Limited $4.5 Million For Breaches Of Anti-Money Laundering Guidelines

Date 06/04/2017

The Securities and Futures Commission (SFC) has reprimanded Guoyuan Securities Brokerage (Hong Kong) Limited (Guoyuan) and fined it $4.5 million for its failure to conduct proper enquiries and scrutiny to mitigate the risks of money laundering and terrorist financing when processing third party fund transfers for clients between September 2010 and July 2012.