News Centre

Japan's Securities And Exchange Surveillance Commission: Recommendation For Administrative Monetary Penalty Payment Order For Insider Trading By Individual Contractor Eith SUNCORPORATION Residing Abroad

Date 30/06/2017

1. Contents of the Recommendation

The Securities and Exchange Surveillance Commission, today, made a recommendation to the Prime Minister and the Commissioner of the Financial Services Agency that an administrative monetary penalty payment order be issued in regard to insider trading of the shares of SUNCORPORATION (“SUNCORP”) by an individual investor residing abroad, who concludes a contract with SUNCORP, pursuant to Article 20(1) of the Act for Establishment of the Financial Services Agency. This recommendation is based on the findings of the investigation into the insider trading, whereby the following violations of laws and ordinances were identified.

ASIC Commences Consultation On Proposed Guidance On Sell-Side Research

Date 30/06/2017

ASIC today released a consultation paper proposing guidance on managing conflicts of interest and handling material, non-public information by Australian financial services (AFS) licensees that provide sell-side research.

NZX Annual Meeting Poll Results - Amended

Date 30/06/2017

NZX notes that the results of the poll votes released earlier today contained an error. The attached includes the correct figures.

Montréal Exchange Interest Rate Derivative Trading Ceases At 1:30 p.m. Today

Date 30/06/2017

Interest rate derivative trading will cease at 1:30 p.m. today, June 30, 2017. Furthermore, the Exchange's markets will be closed on July 3, 2017.

SGX Welcomes Shinhan Investment And Cathay Futures As New Derivatives Trading Members

Date 30/06/2017

Singapore Exchange (SGX) yesterday welcomed Shinhan Investment Corp. and Cathay Futures Corp. as new Trading Members of its derivatives market.

Federal Reserve Board To Publish Monetary Policy Report To The Congress On July 7

Date 30/06/2017

The Federal Reserve Board will publish the July 2017 Monetary Policy Report to the Congress at 11 a.m. EDT on July 7, in order to allow members of Congress and the public time to review the report in advance of Chair Yellen's scheduled testimony on July 12. Chair Yellen's opening statement will be released at 8:30 a.m. EDT on July 12.

Reuters Plus Creates Native Ad Campaign For New Client Synchrony Financial, Airing Exclusively On Reuters TV

Date 30/06/2017

Reuters, the world’s largest international multimedia news provider, today announced the creation of “Working Forward,” a groundbreaking native advertising program for Synchrony Financial. Unlike other content marketing campaigns traditionally formatted with text and infographics, this campaign is one of the first examples of premium video content marketing illustrated within a highly engaging multi-part series. This new multi-part series is natively integrated into the Reuters TV platform, complementing the program’s high quality content.

SEC's Division Of Corporation Finance Expands Popular JOBS Act Benefit To All Companies

Date 29/06/2017

The Securities and Exchange Commission today announced that the Division of Corporation Finance will permit all companies to submit draft registration statements relating to initial public offerings for review on a non-public basis. This process will be available for IPOs as well as most offerings made in the first year after a company has entered the public reporting system. It will take effect on July 10, 2017.

NZX Chairman & CEO Annual Meeting Addresses

Date 29/06/2017

Please see attached NZX's Annual Meeting speeches being presented by Chairman James Miller and CEO Mark Peterson at the 14th Annual Meeting of shareholders of NZX Limited being held this morning in Wellington.

CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known As DV Trading LLC, To Pay A Civil Penalty Of $5 Million For Engaging In Illegal Wash Sales Designed To Generate Exchange Rebate Fees - Former RCCM Trader Brandon Elsasser Also Ordered To Pay $200,000 For Similar Unlawful Trading Conduct

Date 29/06/2017

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Rosenthal Collins Capital Markets, LLC, now known as DV Trading LLC (RCCM), of Chicago, Illinois, for engaging in illegal wash sales in order to generate rebates of exchange fees based upon increased trading volumes.