News Centre

HKEX - Latest Charles Li Direct: Bond Connect - What It Means And How It Works

Date 08/06/2017

HKEX Chief Executive Charles Li takes a closer look at the upcoming Bond Connect in his latest blog post, where he explains how the pilot scheme will work and its benefits for Hong Kong, the Mainland and the international investor community.

SGX Welcomes Sanli Environmental Limited To Catalist

Date 08/06/2017

Singapore Exchange (SGX) today welcomed Sanli Environmental Limited to Catalist under the stock code “1E3”.  

New Zealand's Financial Markets Authority: Innovative Securities Fails To Overturn FSPR Ruling

Date 08/06/2017

The High Court has dismissed an appeal by Innovative Securities Limited (Innovative Securities) against the Financial Markets Authority’s (FMA) decision to direct Companies Office, as the registrar of the Financial Services Provider Register (FSPR), to de-register the company from the FSPR.

ASIC: Macquarie Equities Remediation Program - Update

Date 08/06/2017

ASIC notes that the remediation program established by Macquarie Equities Limited (MEL) under its Enforceable Undertaking with ASIC (see 13-010MR and 14-201MR) is substantially complete.

CFTC Acting Chairman Giancarlo To Testify Before A Subcommittee Of The U.S. House Appropriations Committee Regarding The Commission’s FY 2018 Budget Request

Date 07/06/2017

B3 Publishes May 2017 Market Performance

Date 07/06/2017

BOVESPA SEGMENT

Trading value in the equity market (Bovespa segment) totaled BRL 210.43 billion in May, compared with BRL 146.03 billion in the previous month. Average daily trading value was BRL 9.56 billion, versus BRL 8.11 billion in April. Total volume amounted to 26,718,739 shares, compared with 16,320,584 shares in the previous month. Average daily volume was 1,214,488 shares (906,699 shares in April).

Providing Stability For The U.S. Listed Equity Options Market, By Craig Donohue, OCC Executive Chairman And CEO

Date 07/06/2017

Over the past two years, OCC, in its role as a Systemically Important Financial Market Utility, has taken on a leadership role in advocating for the U.S. listed equity options market  with global policymakers on key legislative and regulatory issues.

CFTC Swaps Report Update

Date 07/06/2017

CFTC's Weekly Swaps Report has been updated, and is now available.

Federal Reserve Board Approves Extended Transition Period For Deutsche Bank AG, SVB Financial Group, And UBS Group AG To Conform Investments In Certain "Illiquid Funds" To Requirements Of Volcker Rule

Date 07/06/2017

The Federal Reserve Board on Wednesday announced that it had approved an extended transition period of up to five years for Deutsche Bank AG, SVB Financial Group, and UBS Group AG to conform investments in certain "illiquid funds" to the requirements of section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly known as the Volcker rule.

FINRA Hearing Panel Bars Registered Representative For Failing To Disclose Private Securities Transactions Totaling $100 Million In EB-5 Investments

Date 07/06/2017

The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel barred an Irvine, California-based registered representative, Jim Seol, for participating in private securities transactions, engaging in undisclosed outside business activities, and for making misrepresentations to his employer in compliance questionnaires. The hearing panel found that Seol sold $100 million in EB-5 investments promoted through his private business, Western Regional Center Incorporated (WRCI), yet failed to disclose this activity to his employing firm. FINRA rules and the member firm’s policy required Seol to disclose and obtain prior approval for all outside business activities. The decision resolves charges brought by FINRA's Department of Enforcement in May 2016.