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Hong Kong's Securities And Futures Commission Suspends Lo Tsz On For One Year

Date 12/10/2016

The Securities and Futures Commission (SFC) has suspended Mr Lo Tsz On for one year from 12 October 2016 to 11 October 2017 following his conviction for fraud.
UK's Financial Conduct Authority Imposes Penalties On Sonali Bank (UK) Limited And Its Former Money Laundering Reporting Officer For Serious Anti-Money Laundering Systems Failings

Date 12/10/2016

The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering reporting officer (MLRO), Steven Smith, £17,900 and prohibited him from performing the MLRO or compliance oversight functions at regulated firms.
Shire Plc To Join The NASDAQ-100 Index Beginning October 19, 2016

Date 12/10/2016

Nasdaq (Nasdaq:NDAQ) today announced that Shire plc (Nasdaq:SHPG), will become a component of the NASDAQ-100 Index® (Nasdaq:NDX) and the NASDAQ-100 Equal Weighted Index (Nasdaq:NDXE) prior to market open on Wednesday, October 19, 2016. Shire plc will replace Linear Technology Corporation (Nasdaq:LLTC) in the indexes.
DongXing Securities Selects Horizon For Option Trading

Date 12/10/2016

Horizon Software (Horizon), the leading global technology provider for electronic trading and investment management, announced today that Chinese broker,DongXing Securities (DongXing), has chosen Horizon for its equity trading, market making and algorithmic trading. The deal is a major extension of Horizon’s use by DongXing Investment, a subsidiary of DongXing Securities, which has a market cap of USD 9.5 Billion and is named as one of the Forbes 2000 largest companies in the world.
London Bullion Market Association Announces Cinnober’s Boat As The Chosen Provider For Trade Reporting And Transparency Project

Date 12/10/2016

The London Bullion Market Association (LBMA) announces today that Boat Services Ltd, in a joint submission with Autilla, has been selected as the chosen provider in the LBMA’s Request for Proposal (RfP) process.

Two New Members Join ESM Board Of Auditors

Date 12/10/2016

The Board of Governors of the European Stability Mechanism (ESM) has appointed François-Roger Cazala and Kevin Cardiff to its Board of Auditors, each for a non-renewable three-year term. Mr Cazala is a member of the French Court of Audit (Cour des Comptes), which nominated him for the position. Mr Cardiff was nominated by the European Court of Auditors, of which he is a member. The ESM Board of Governors is composed of the 19 euro area finance ministers.
Securities Commission Malaysia Invites Public Feedback On Regulatory Framework For Trustees And Custodians

Date 12/10/2016

Securities Commission Malaysia (SC) today published a consultation paper seeking public feedback on a proposed regulatory framework for trustees and custodians in the Malaysian capital market.
Avelacom, A Global Network Service Provider, Entered Into A New Partnership With Dubai Gold & Commodity Exchange (DGCX)

Date 12/10/2016

The partnership expands options for financial services industry to speed up their trading and identify new arbitrage trading opportunities across key financial and commodity derivatives markets.
Shenzhen Stock Exchange Releases Rules On Shenzhen-Hong Kong Stock Connect Program

Date 12/10/2016

On September 30, Shenzhen Stock Exchange (SZSE) formally released eight sets of rules governing the upcoming Shenzhen-Hong Kong Stock Connect program, including the Measures for the Implementation of Shenzhen-Hong Kong Stock Connect Program, the Guidelines on the Management of Investor Suitability for Hong Kong Connect, the Mandatory Provisions for the Risk Disclosure Statement for Hong Kong Connect Trading, the Mandatory Provisions for the Client Agreement for Hong Kong Connect, the Circular on Information Disclosure by Listed Companies and Relevant Issues under Shenzhen-Hong Kong Stock Connect, the Guidelines on the Implementation of HKSCC Participation in Online Voting, and the revised Detailed Implementation Rules on Online Voting at Shareholders’ General Meetings and SZSE Trading Rules.
ASX Responds To Regulatory Expectations And Updates Its Code Of Practice

Date 12/10/2016

ASX has updated its Cash Equities Clearing and Settlement Code of Practice (Code) to align with the set of Regulatory Expectations released today by the Council of Financial Regulators (CFR).