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  • CFTC Charges J.P. Morgan Securities LLC With Repeatedly Submitting Inaccurate Large Trader Reports And Imposes A $650,000 Civil Monetary Penalty

    Date 29/07/2014

    The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against J.P. Morgan Securities LLC (JPMS), a wholly-owned subsidiary of JPMorgan Chase & Co. and a CFTC-registered Futures Commission Merchant (FCM), for submitting inaccurate reports to the CFTC relating to the required reporting of positions held by certain large traders whose accounts are carried by JPMS. The reporting violations occurred despite the CFTC notifying JPMS of numerous errors in its reports. The CFTC Order requires JPMS to pay a $650,000 civil monetary penalty to address its unlawful conduct.

  • DTCC Collaborates With The Industry To Launch New Client Data And Documentation Utility

    Date 29/07/2014

    • New industry solution, Clarient Entity Hub, to provide centralized services for all client data and documents needed to satisfy internal on-boarding and help firms meet broader related regulatory requirements including Know Your Customer (KYC), Foreign Account Tax Compliance Act (FATCA), European Market Infrastructure Regulation (EMIR) and Wall Street Reform and Consumer Protection Act (Dodd-Frank)
    • Six founder banks and DTCC to deliver a comprehensive solution, combining innovative new technology with existing DTCC capabilities in the client reference data space

  • NASDAQ OMX To Provide SMARTS Integrity Market Surveillance Platform To trueEX Group

    Date 29/07/2014

    The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) andtrueEX Group LLC, a Commodity Futures Trading Commission (CFTC)-regulated exchange for interest rate swaps, have announced a five-year partnership during which NASDAQ OMX will provide the SMARTS Integrity market surveillance platform to trueEX. The solution is now live and monitors both trueEX's Designated Contract Market (DCM) and its Swap Execution Facility (SEF).

  • HKFE Announces Revised Margins For Futures Contracts

    Date 29/07/2014

    Hong Kong Futures Exchange Limited (HKFE), a wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited (HKEx), has announced that with effect from the commencement of trading on Friday, 1 August 2014, the minimum margins to be collected by an Exchange Participant from its clients in respect of their dealings in the following futures contracts will be as outlined in the table below. The adjustments are based on the clearing company’s normal procedures and standard margining methodology.

  • Platts Report: China Oil Demand Rose 2.7% In June Versus A Year Ago - June Demand Up 8.6% From May - Above 10 Million Barrels Per Day 2nd Time This Year

    Date 29/07/2014

    China's apparent oil demand* in June turned directions from May and climbed  2.7% versus the same month a year ago to 41.94 million metric tons (mt) or an average 10.25 million barrels per day (b/d), according to a just-released Platts analysis of Chinese government data.  On a month-over-month basis, apparent oil demand was up 8.6% from May.

  • The Spanish Stock Market Admits To Trading The First Stayhigh / Staylow Products

    Date 29/07/2014

    • They are listed products for investing in an asset which is expected to be above or below a given barrier level
    • They comprise 13 StayHigh series and 11 StayLow on indices and shares
    • Société Générale is the first issuer of this type of products on the Spanish stock market

  • USD 29 Billion In Net New Assets Gathered In First 6 Months By ETFs Based On MSCI Indexes

    Date 29/07/2014

    • 34% of net new ETF assets were linked to MSCI indexes
    • Around one-third of all new equity ETFs globally were based on MSCI indexes
    • AUM tracking equity ETFs globally based on MSCI indexes climbing towards all time high

  • Japan's Financial Services Agency: Opening Ceremony At The Asian Financial Partnership Center (AFPAC)

    Date 29/07/2014

    The Asian Financial Partnership Center (AFPAC) has started to invite two officials from Financial Regulatory Commission of Mongolia (FRC) and one official from State Bank of Vietnam (SBV) as Visiting Fellows and held an Opening Ceremony on July 29, 2014.

  • Global Legal Entity Identifier Foundation (GLEIF) Announces Funding Plan

    Date 29/07/2014

    At the inaugural Board meeting of the Global Legal Entity Foundation (GLEIF), the Board took a key decision on the implementation of one of the Financial Stability Board’s (FSB) recommendations for the Global Legal Entity Identifier System (GLEIS). The Board confirmed the 2014 GLEIF funding plan consisting of a License Fee of 20 USD and Member Credit Fee of 10 USD per LEI.  The license fee is determined on an annual basis in accordance with the LOUs full year registration and renewal activity. For 2014 this includes all LEI activity from January 1 through December 31.

  • Thailand Futures Exchange To Launch Gold Physical Exchange Service

    Date 29/07/2014

    Thailand Futures Exchange PCL (TFEX), under the Stock Exchange of Thailand group, joins hands with seven gold shop operators to offer physical gold exchange service for gold futures investors, enabling them to exchange a matured contract into physical gold at the gold shop operators. The service will start from the gold futures contract maturing in August.