News Centre

FIA Statement On CFTC Customer Protection Rule

Date 31/10/2013

The Futures Industry Association today issued the following statement regarding the Commodity Futures Trading Commission’s final rule on customer protections:
ESMA Closed For Public Holiday On 1 November

Date 31/10/2013

The European Securities and Markets Authority (ESMA) will be closed on Friday, 1 November for a public holiday. The offices will reopen on Monday, 4 November.
Program Trading Averaged 24.4 Percent Of NYSE Volume During Oct. 21-25

Date 31/10/2013

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms’ executed volume from NYSE’s orders database. The report includes trading on the NYSE for Oct. 21-25.
UK’s Financial Conduct Authority Publishes Proposed Fees For Consumer Credit Providers

Date 31/10/2013

The Financial Conduct Authority (FCA) has published a consultation paper on proposed changes to the way it levies fees, including how much firms will be charged to be authorised to offer consumer credit services.
“Polls, Pols And Poltergeists” - Speech Of CFTC Commissioner Bart Chilton Before The Regulatory Compliance Association, New York City

Date 31/10/2013

We Just Don’t Care Polling

“One ringy dingy…two ringy dingies. Goodness gracious (snort) hello, I’m from We Just Don’t Care…Polling. We Just Don’t Care Polling, that’s us.”

Hong Kong's Securities And Futures Commission: Former Licensee Convicted Of Illegal Short Selling

Date 31/10/2013

The Eastern Magistrates’ Court today convicted Mr Chan Chi Yuen after he pleaded guilty to twenty-six counts of illegal short selling in the shares of Hutchison Whampoa Limited (Hutchison), China COSCO Holdings Company Limited (China COSCO) and China Coal Energy Company Limited (China Coal).
London Stock Exchange Group: Proquote Launches Global Order Routing Network For Retail Brokers

Date 31/10/2013
Network provides clients with the ability to route Direct Market Access (DMA) and Care Orders via global community of sell side brokers
Expansion of Proquote's RSP gateway in Europe and North America
Strengthens Proquote's position as a trading hub

OTC Clear Has Become A Recognised Clearing House

Date 31/10/2013

OTC Clearing Hong Kong Limited (OTC Clear), a subsidiary of Hong Kong Exchanges and Clearing Limited (HKEx), announces that the Securities and Futures Commission (SFC) has on 25 October 2013 granted it recognition as a clearing house under section 37 of the Securities and Futures Ordinance. OTC Clear is established for the purpose of providing clearing services for over-the-counter (OTC) derivatives.
Japan’s Financial Services Agency Exchanges Letters Of Co-Operation With The Financial Services Authority Of Indonesia

Date 31/10/2013

On October 29, 2013, the Financial Services Agency and the Financial Services Authority of Indonesia exchanged letters on the sharing of their experience and expertise.
HKEx: Report On Initial Public Offering Applications, Delisting And Suspensions

Date 31/10/2013

(As at 31 October 2013)