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Hong Kong's Securities And Futures Commission Reprimands And Fines Adamas Asset Management (HK) Limited $2.5 Million

Date 23/12/2019

The Securities and Futures Commission (SFC) has reprimanded and fined Adamas Asset Management (HK) Limited (Adamas) $2.5 million for inadequate measures to ensure accurate and timely disclosure of notifiable interests in eight Hong Kong-listed company shares.
XPCC Bond Debuts On The Exchange Market Shenzhen Stock Exchange Achieves Notable Results In Serving The Issuance Of Local Government Bonds In 2019

Date 23/12/2019

On December 19, Xinjiang Production and Construction Corps (“XPCC” hereinafter) government bond debuted on the exchange market and succeeded in its open issue by tender on SZSE. This is an important measure for SZSE to study and implement the guiding principles of the Central Economic Work Conference and to support improvement of quality and performance with proactive fiscal policy. It is also another successful case to help broaden direct financing channels and serve the high-quality economic development of the border areas.
Launch Of The Consolidated Basel Framework

Date 23/12/2019

The Basel Committee on Banking Supervision has launched its consolidated Basel Framework. The framework brings together all of the Basel Committee's global standards for the regulation and supervision of banks and presents them on a new section of its website.
Amman Stock Exchange: Public Holiday For Christmas And New Year

Date 22/12/2019

According to the announcement of the Prime Minister on the occasions of Christmas and New Year's Days, the Amman Stock Exchange (ASE) will be off on Thursday 25th of December, 2019 on the occasions of Christmas, and Thursday 1st of January, 2020 on the occasions New Year's Days.
ETFGI Reports That Assets Invested ETFs And ETPs Listed In Japan Reached A New Record High Of US$391.89 Billion At The End Of November 2019

Date 22/12/2019

ETFGI, a leading independent research and consultancy firm covering trends in the global ETFs/ETPs ecosystem, reported today that ETFs and ETPs listed in Japan saw net outflows of US$949 million in November, bringing year-to-date net inflows to US$35.74 billion. Assets invested in the Japanese ETF/ETP industry have increased slightly, from US$391.87 billion at the end of October to a record US$391.89 billion, according to ETFGI's November 2019 Japanese ETFs and ETPs industry landscape insights report, an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)

CFTC Charges Executive At Global Investment Bank With Manipulation And Fraud In Connection With Swaps Related To A Bond Issuance

Date 20/12/2019

The U.S. Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the Southern District of New York against Christophe Rivoire, a French national, charging him with engaging in a deceptive scheme to manipulate the pricing of an interest rate swap between a bond issuer and a global investment bank. Rivoire was employed as the Head of North American Rates in the New York office of the bank.
IIROC Issues 2020 Compliance Report - Helping Firms With Compliance Details Priorities In The Year Ahead

Date 20/12/2019

The Investment Industry Regulatory Organization of Canada (IIROC) today issued its latest Compliance Report highlighting its compliance priorities in the year ahead.
CFTC Commitments Of Traders Reports Update

Date 20/12/2019

The current reports for the week of December 17th, 2019 are now available.
US Federal Agencies Extend Comment Period For Proposed Rule To Amend Swap Margin Rules

Date 20/12/2019

Five federal agencies today announced they will reopen and extend until January 23, 2020, the comment period on a proposal to change swap margin rules to facilitate the implementation of prudent risk management strategies at certain banks and swap entities.
Investor Protection Strengthened By New Brunswick's Securities Act Amendments - Province Joins Four Others In Giving IIROC Full Enforcement Toolkit

Date 20/12/2019

The Investment Industry Regulatory Organization of Canada (IIROC) welcomes the Government of New Brunswick's passage of legislation that strengthens investor protection, and safeguards seniors and vulnerable retail investors.