News Centre

Diliger Research Delivers Centralised Third-Party Regulatory Oversight And Monitoring Platform - New Hub Will Enable Institutional Clients And Vendors To Collaborate Quickly And Efficiently To Meet Know-Your-Vendor (KYV) Obligations

Date 09/12/2015

Diliger Research has extended its online vendor research service to help financial institutions with vendor risk management (VRM) and stay compliant with know-your-third-party vendor obligations  (KYV).  
 

'CBOE Options Institute At SGX’ Launches In Singapore December 9

Date 09/12/2015

• Expansion Targets Growing Educational Demand in Asia
• First International Extension of CBOE Options Institute

Orc Recognized As Prop Traders’ First Choice At Annual FOW International Awards

Date 09/12/2015

Orc, the global market leader in electronic trading technology for listed derivatives, was named “Prop Traders’ ISV of the Year” at the FOW International Awards, presented by FOW yesterday in London.

UAE's Securities And Commodities Authority: Draft Regulations Published On Website To Solicit Views Of Industry Players Are Not Final

Date 09/12/2015

The Securities and Commodities Authority (SCA) said, in a statement released yesterday, that the mutual fund regulations published on its website are preliminary and under debate and preparation and that they are only published as part of SCA’s standard practices intended to solicit views and reactions from securities industry professionals before issuing any new regulations. SCA indicated that this was the norm to engage industry players in drafting regulations for their stock market activities and transactions.

ASIC: Etrade Australia Securities Limited Pays $65,000 Infringement Notice Penalty

Date 09/12/2015

Etrade Australia Securities Limited (Etrade) has paid a penalty of $65,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The MDP found it had reason to believe that Etrade had contravened subsection 798H(1) of the Corporations Act 2001(Corporations Act) by failing to comply with a ASIC market integrity rule (ASX Market) regarding the market for a Product not being both fair and orderly.

Stock Exchange Of Thailand: Relocation Notice

Date 09/12/2015

With effect from 4th January 2016, The Stock Exchange of Thailand’s (SET) office, including its subsidiaries, will be fully conducted at the new building following below address and new main telephone numbers.

ASIC: Australian Investment Exchange Limited Pays $130,000 Infringement Notice Penalty

Date 09/12/2015

Australian Investment Exchange Limited (AUSIEX) has paid a penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP).

TOCOM Dubai Crude Oil Futures Volume Hit All-Time Record

Date 09/12/2015

The Tokyo Commodity Exchange, Inc. announced yesterday that Dubai Crude Oil futures trading volume reached 55,388 contracts, the highest since its launch on September 10, 2001. The record was renewed for the two consecutive days and it is the first time for the contract’s daily volume to exceed 50,000 lots. Open interest for Dubai Crude Oil futures marked the highest on December 4, 2015 at 58,741 contracts.

US Justice Department Announces Aargauische Kantonalbank Reaches Resolution Under Swiss Bank Program

Date 08/12/2015

The Department of Justice announced today that Aargauische Kantonalbank (AKB) reached a resolution under the department’s Swiss Bank Program. 

Statement Regarding Repeal Of Indemnification Requirement, SEC Commissioner Michael S. Piwowar

Date 08/12/2015

I applaud Congress and President Obama for repealing the Dodd-Frank Act’s security-based swap data repository indemnification requirement as part of the recent transportation infrastructure bill. This bipartisan, common-sense reform is long overdue. SEC staff publicly called for the removal of this provision in testimony before Congress in 2012, and that call was subsequently joined by a number of market participants and regulators, including former SEC Chairman Elisse Walter and at least one liberal advocacy group.