News Centre

Japan’s Financial Services Agency: Publication Of The Draft Of The “Principles For Responsible Institutional Investors” «Japan’s Stewardship Code» - To Promote Sustainable Growth Of Companies Through Investment And Dialogue

Date 07/04/2017

 The Council of Experts on the Stewardship Code(Chairman: Hiroyuki Kansaku, Professor, University of Tokyo Graduate Schools for Law and Politics) has now published the draft of “Japan’s Stewardship Code” and started to call for public comments in English.

HKEX Monthly Market Highlights - March 2017

Date 07/04/2017

Highlights

- Securities Market

• The average daily turnover for the first three months of 2017 was $74.3 billion, an increase of 2 per cent when compared with $72.7 billion for the same period last year.
• There were 40* newly listed companies for the first three months of 2017, an increase of 100 per cent when compared with 20* for the same period last year.

Statement On The Financial Conduct Authority’s Enforcement Investigation Into Issues Relating To HBOS Reading

Date 07/04/2017

This resumes an FCA investigation that was placed on hold in early 2013 at the request of Thames Valley Police pending the outcome of the Thames Valley police investigation and any resulting prosecutions. The FCA’s investigation is focussing on the extent and nature of the knowledge of these matters within HBOS and its communications with the Financial Services Authority after the initial discovery of the misconduct.

Dalian Commodity Exchange: Soybean Meal Options Saw Steady Trading On First Day Of Launch

Date 07/04/2017

On March 31, the options on soybean meal futures (“soybean meal options” for short), the first commodity options product in China, were listed and traded on Dalian Commodity Exchange (DCE). On the trading day, the trading volume of the soybean meal options reached 23,000 contracts (unilateral, the same below) with the turnover at RMB22.863 million and the open interest at 16,000 contracts. Specifically, the trading volume and open interests of the call options and the put options were basically the same with the trading volume of the options reaching 4.7% of that of the underlying futures. The market participants generally believed that on the first trading day the soybean meal options performed rationally with moderate liquidity and stable operation on the whole, meeting the market expectation.

Keynote: Distributed Ledger And Innovation By Larry Thompson, Vice Chairman, DTCC, Frankfurt, Germany, March 29, 2017

Date 07/04/2017

I would like to thank the European Central Bank, the Bank of England and the U.S. Treasury Department’s Office of Financial Research for inviting me to be with you today.

Canadian Securities Administrators Publish Summary Of The Roundtable On Response To Cyber Security Incidents

Date 06/04/2017

The Canadian Securities Administrators (CSA) today published CSA Staff Notice 11-336 Summary of CSA Roundtable on Response to Cyber Security Incidents, which provides an overview of the themes discussed and some of the key takeaways.

CBOE Holdings’ Exchanges Trading Schedule For Good Friday Holiday

Date 06/04/2017

CBOE Holdings, Inc. (BATS: CBOE | NASDAQ: CBOE) announced the following trading schedule for Chicago Board Options Exchange® (CBOE®), C2 Options Exchange (C2), CBOE Futures Exchange (CFE®) and Bats U.S. equities and options exchanges in observance of the Good Friday holiday on April 14.

Canadian Securities Regulators Seek Comments On Reducing Regulatory Burden For Non-Investment Fund Reporting Issuers

Date 06/04/2017

The Canadian Securities Administrators (CSA) today published CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers (Consultation Paper), which seeks comments on potential options for reducing regulatory burden for non-investment fund reporting issuers in the public markets.

Consolidated Audit Trail Industry Webcast

Date 06/04/2017

On Thursday, April 13, 2017 4:15 pm (ET) the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail Industry Webcast. Representatives from the CAT NMS, LLC Operating Committee, and representatives from the CAT Plan Processor, Thesys Technologies, will present an update on the progress of the Consolidated Audit Trail. The discussion topics outlined below will provide industry members insight to the CAT program and several technical topics.

Federal Court Orders Relief Defendants Westward International Ltd. And Coucarin Holdings Ltd. To Disgorge Ill-Gotten Funds Totaling More Than $1.77 Million In CFTC Binary Options Fraud Action

Date 06/04/2017

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge James I. Cohn of the U.S. District Court for the Southern District of Florida entered final default judgments against Relief Defendants Westward International Ltd. (Westward) and Coucarin Holdings Ltd. (Coucarin), both of Deerfield Beach, Florida. The Default Judgment Orders, both entered on March 23, 2017, require Westward and Coucarin to disgorge ill-gotten client funds in the amounts of $211,160 and $1,565,480, respectively.