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Russell/Nomura Total Market Index Adds 140 New Firms In Annual Reconstitution

Date 22/11/2016

FTSE Russell, the global index provider, and Nomura Securities Co., Ltd., today announced that 140 new stocks were added to the Russell/Nomura Total Market Index, which captures 98% of the float-adjusted market capitalization of the Japanese equity market, as part of the annual reconstitution process on November 21. The new membership list for the indexes was posted on the FTSE Russell website.
Shanghai Stock Exchange Improves Review Remedy System To Protect Legitimate Rights & Interests Of Self-regulation Entities

Date 22/11/2016

Approved by the China Securities Regulatory Commission (CSRC), the Shanghai Stock Exchange (SSE) has recently issued the “SSE Measures for Implementation of Review” (the Measures for short), further improving the review system and strengthened the protection for the legitimate rights and interests of the self-regulation entities.
ASIC: Relief For Foreign Financial Service Providers From Luxembourg

Date 22/11/2016

ASIC has extended its relief for foreign financial service providers (FFSPs) from the requirement to hold an Australian financial services (AFS) licence when providing financial services to Australian wholesale clients by Luxembourg fund managers.
Shanghai Stock Exchange: First AdjustmentTto SSE 50 ETF Option For Dividend Distribution

Date 22/11/2016

On November 11, 2016, Huaxia Fund Management Co., Ltd. issued the “Announcement on Dividend Distribution of SSE 50 ETF”, stating that the SSE 50 ETF (ticker symbol: 50 ETF; code: 510050) would distribute dividend, with the ex-dividend date of November 29. It will be the first dividend distribution by the underlying of the SSE 50 ETF option contract since the option’s launch on February 9, 2015. The Shanghai Stock Exchange (SSE) will, according to the “SSE Rules for Pilot Program of Stock Option Trading”, adjust all the unexpired contracts of the SSE 50 ETF option on November 29 and re-launch new option contracts.
Shenzhen Stock Exchange Market Bulletin 21 November, 2016, Issue 39

Date 22/11/2016

SZSE promulgated the Guidelines on Information Disclosure of three industries: seed and planting, construction machinery, and decoration industry. Taking industrial characteristics, investor demand and information disclosure cost of listed companies into consideration, the Guidelines clearly regulated disclosure requirements of periodic report and interim report, first disclosure and continuous disclosure obligations, industrial characteristics and business scope, industrial chain and core competitiveness, value and risk, financial and non-financial information by emphasizing industrial characteristics and risks respectively. In addition, the Guidelines expanded the flexibility of specific rules based on industrial characteristics.

Trading And Markets Director Stephen Luparello To Leave SEC

Date 21/11/2016

The Securities and Exchange Commission today announced that Stephen Luparello, Director of the Division of Trading and Markets, will leave the agency by the first of the year. He was named director of the office in February 2014.
Canada's Competition Bureau Statement Regarding Its Investigation Into Alleged Anti-Competitive Conduct By TMX Group Limited

Date 21/11/2016

Today, the Commissioner of Competition (the “Commissioner”) announced that he has discontinued his investigation into allegations that TMX Group Limited (“TMX Group”) engaged in conduct contrary to the restrictive trade practices provisions of the Competition Act (the “Act”). This statement summarizes the Competition Bureau’s (the “Bureau”) approach in respect of this investigation.
TMX Group Statement On Competition Bureau Announcement

Date 21/11/2016

TMX Group welcomes today's announcement that the Commissioner of Competition has discontinued his investigation into allegations that TMX Group engaged in conduct contrary to the provisions of the Competition Act. TMX Group cooperated fully during the investigation and remains firmly committed to conducting business with integrity in full compliance with the Competition Act and in keeping with our public interest mandate.
Chief Litigation Counsel Matthew C. Solomon To Leave SEC

Date 21/11/2016

The Securities and Exchange Commission today announced that Matthew C. Solomon, the Chief Litigation Counsel for the SEC’s Enforcement Division, will leave the agency early next month.
CFTC Staff Issues Time-Limited Extension Of Swap Data Reporting Relief For Certain Swap Dealers And Major Swap Participants Established Under The Laws Of Australia, Canada, The European Union, Japan Or Switzerland

Date 21/11/2016

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) issued a time-limited no-action letter today that extends relief provided to certain CFTC-registered swap dealers (SD) and major swap participants (MSP) in CFTC Letter No. 15-61.