EDGAR system data may have been used for “illicit gain through trading” SEC Chairman Jay Clayton has issued a statement highlighting the importance of cybersecurity to the agency and market participants, and detailing the agency’s approach to cybersecurity as an organization and as a regulatory body. The statement is part of an ongoing assessment of…
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Clearstream’s Investment Funds business notes strong growth in investment funds and ETFs due to increased customer demand / thought leaders will discuss future of the fund industry at Clearstream’s Annual Fund Summit on September 28 in Luxembourg The funds industry is back on track, after quite some time of reduced inflows into UCITS and alternative…
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OTC Clearing Hong Kong Limited (OTC Clear), a subsidiary of Hong Kong Exchanges and Clearing Limited (HKEX) that was set up in 2013 to provide clearing services for over-the-counter, or OTC, derivatives, welcomes BNP Paribas (BNP) as 17th clearing member and first member from France. We are pleased to welcome BNP as a member of…
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The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Rathbone Brothers. Fraudsters are using the details of firms, authorised by the FCA, to try to convince people that they work for a genuine, authorised firm. Fraudsters are using or giving out the following details as part of their tactics to…
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Singapore Exchange (SGX) announced the launch of SGX Iron Ore Futures Indices, a suite of inverse and leveraged indices calculated off the SGX TSI Iron Ore CFR China (62% Fe Fines) Index Futures. This is the first series of SGX commodity-based indices to be used as benchmark for tradable products and they will be licensed…
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The U.S. NFA has ordered Chicago, Illinois based introducing broker Kingsview Futures LLC to pay a $50,000 fine. The decision, issued by an NFA Hearing Panel, is based on a complaint authorized by NFA's Business Conduct Committee (BCC) and a settlement offer submitted by Kingsview Futures. The Hearing Panel found that Kingsview Futures failed to diligently…
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The Commission de Surveillance du Secteur Financier (CSSF) has issued a warning of the activities of an entity named DBL Asset Management S.A. The company is operating at website: www.dbl-am.org and claims to be established at 11 rue René Weimerskirch, 2713 Luxembourg. The CSSF informed the public that DBL Asset Management S.A. is unknown to…
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The Securities and Futures Commission (SFC) and The Stock Exchange of Hong Kong Limited (Exchange), a wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited (HKEX), today published the conclusions to their joint consultation on proposed enhancements to the Exchange's decision-making and governance structure for listing regulation. After carefully considering market feedback, the SFC and…
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Bats, a CBOE Holdings, Inc. (NASDAQ:CBOE) company, and a leading market for exchange-traded product (ETP) trading globally, today welcomed two new iShares fixed income funds to the Bats ETF Marketplace. The iShares 5-10 Year Investment Grade Corporate Bond ETF (Bats: MLQD), and iShares 10+ Year Investment Grade Corporate Bond ETF (Bats: LLQD), complete the iShares…
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The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Beaufort Securities. Fraudsters are using the details of firms, authorised by the FCA, to try to convince people that they work for a genuine, authorised firm. Fraudsters are using or giving out the following details as part of their tactics to…
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