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  • ETFGI Reports Active ETFs And ETPs Have Gathered 24 Billion US Dollars In Net New Assets In The First 11 Months Of 2017

    Date 21/12/2017

    ETFGI, a leading independent research and consultancy firm on trends in the global ETF/ETP ecosystem, reported today Active ETFs and ETPs have gathered 24 billion US dollars in net new assets in the first 11 months of 2017.

  • MAS Issues Prohibition Orders Against Dennis Tey Thean Yang For Unauthorised Trading And Fraud

    Date 21/12/2017

    The Monetary Authority of Singapore (MAS) has issued two prohibition orders against Mr Tey Thean Yang Dennis. Mr Tey will be prohibited for a period of 5 years from:

    (i) performing any regulated activity, and taking part in the management, acting as a director or becoming a substantial shareholder of any capital market services firm under the Securities and Futures Act (SFA); and

    (ii) providing any financial advisory services, and taking part in the management, acting as a director or becoming a substantial shareholder of any financial advisory firm under the Financial Advisers Act (FAA).

    2   Between 24 October 2012 and 8 January 2013, Mr Tey used different trading accounts to enter false orders in underlying securities, in order to temporarily change the prices of their corresponding Contract for Differences (CFD). Mr Tey then executed CFD trades at the changed prices, before removing the false orders for the underlying securities. This caused the CFD prices to move in a direction that was beneficial to him but detrimental to the CFD providers. He made a total profit of $30,239 through the scheme.

    3   On 22 March 2017, Mr Tey was convicted of six charges under section 201(a) of the SFA for employing a scheme to defraud and two charges under section 201(b) of the SFA for unauthorised trading. He was sentenced to a total of 16 weeks’ imprisonment.1

    4   The prohibition orders against Mr Tey were issued by the MAS pursuant to section 101A of the SFA and section 59 of the FAA and took effect from 21 December 2017.

  • ASIC Releases Guidance On Sell-Side Research

    Date 21/12/2017

    ASIC today released regulatory guidance on managing conflicts of interest and handling inside information by Australian financial services (AFS) licensees that provide sell-side research.

  • NZX Appoints Hugh Stevens To Lead Funds Management Business

    Date 20/12/2017

    NZX is pleased to announce the appointment of Hugh Stevens to lead the exchange’s funds management business, effective Monday 5 February 2017.

  • CFTC Swaps Report Update

    Date 20/12/2017

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