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News Centre

CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Relief For Certain Persons From Registration As An Introducing Broker Or Commodity Trading Advisor

Date 29/03/2013

The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission announced today in a letter that it is taking a no-action position which provides relief from the requirement to register as an introducing broker or a commodity trading advisor for certain affiliates of a swap counterparty and the affiliates’ employees, where the affiliates and their employees engage in certain activity on behalf of the swap counterparty and the swap counterparty has commenced application for registration as a swap dealer or has exceeded the de minimis amount of swap dealing activity under Commission Regulation 1.3(ggg)(4)(i). The letter makes available registration relief to certain persons who would not otherwise be eligible for the relief DSIO previously provided to Agent Affiliates under CFTC Letter No. 12-70 (December 31, 2012). The relief is subject to a number of conditions, including that the swap counterparty be registered as a swap dealer within a specific period of time and conditions similar to those specified in CFTC Letter No. 12-70.
SEC Charges Sigma Capital Portfolio Manager With Insider Trading

Date 29/03/2013

The Securities and Exchange Commission today charged Michael Steinberg, a portfolio manager at New York-based hedge fund advisory firm Sigma Capital Management, with trading on inside information ahead of quarterly earnings announcements by Dell and Nvidia Corporation.
Methods For Calculating Moscow Exchange Broad Market Indices, Second-Tier Indices And Sector Indices Adopted

Date 29/03/2013

Moscow Exchange has adopted calculation methodologies for its Broad Market Indices, Second-Tier Indices and sector indices.
WSE And Exchange Members Agree Modifications To The Trading Session Timetable

Date 29/03/2013

Meetings of the Exchange Management Board and representatives of the Council of Brokerage Houses and the Management Board of the Chamber of Brokerage Houses have been held on 27 and 28 March to agree modifications to the continuous trading timetable on the markets organised by the WSE. The parties have reached an agreement concerning the modified timetable.
Japan Exchange Group: Regarding News Reports - Tick Sizes

Date 29/03/2013

Today, there were some reports in the media on reducing the price increments of bids and offers (tick sizes).

Japan’s Financial Services Agency: Exchange Of Letters On Cooperation In The Area Of Audit Oversight With The AFM Of The Netherlands

Date 29/03/2013

Financial Services Agency (FSA) and Certified Public Accountants and Auditing Oversight Board (CPAAOB) signed a Letter on cooperation in the area of audit oversight(PDF:516KB) with the Netherlands Authority for the Financial Markets (AFM) on March 19, 2013 and exchanged the Letters with the AFM on March 26, 2013.
Tokyo Commodity Exchange: Revised Weight Percentage Of Nikkei-TOCOM Commodity Index

Date 29/03/2013

The Tokyo Commodity Exchange, Inc. (“TOCOM” or the “Exchange”) today announced revised weightings of the Nikkei-TOCOM Commodity Index components, effective June 3, 2013, as indicated below.
Shanghai Stock Exchange Fuels Investor Suitability Management - The “SSE Provisional Measures On Investor Suitability Management” (The “Provisional Measures” For Short) Is Released And Implemented

Date 29/03/2013

The Shanghai Stock Exchange (SSE) released and implemented the “SSE Provisional Measures on Investor Suitability Management” on March 26 for guiding investors to rationally participate in securities investment and protecting their legal rights and interests, with an aim of implementing the requirements of the China Securities Regulatory Commission (CSRC) for investor suitability management, regulating the investor suitability management on the SSE market, and strengthening the protection for legal rights and interests of investors under the backdrop of the acceleration of product and business innovation.
Thai Bourse Lists KTAM SET Food And Beverage ETF Tracker On April 2

Date 29/03/2013

The Stock Exchange of Thailand (SET) will list KTAM SET Food and Beverage ETF Tracker, managed by Krung Thai Asset Management pcl, on its main board on April 2, under the ticker "EFOOD".
Dalian Commodity Exchange: Notice On Doing Simulation Test Of Egg Variety Trading System

Date 29/03/2013

To simulate the successful launch and trading of egg variety, it is decided that DCE will do trading system networking test between 9:00 and 11.30 on the morning of March 30 (Saturday). All member units are required to assign ahead of time their trading floor traders and personnel related to remote trading system and settlement system to participate in test.