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SEC: Credit Suisse To Pay $4.25 Million And Admits To Providing Deficient “Blue Sheet” Trading Data

Date 28/09/2015

The Securities and Exchange Commission today charged Credit Suisse Securities (USA) LLC with submitting deficient information to the agency over a two-year period about trades done by its customers, commonly referred to as “blue sheet data.”

CFTC’s Division Of Market Oversight Issues Additional Time-Limited No-Action Relief From Electronic Reporting Requirements In The OCR Final Rule

Date 28/09/2015

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Market Oversight (DMO) today issued a no-action letter (CFTC Letter No. 15-52) that provides additional time for reporting parties to comply with certain reporting requirements of the ownership and control final rule (OCR Final Rule).

New FTSE Russell Survey Measures Financial Advisor Use Of Smart Beta

Date 28/09/2015

• Two thirds of financial advisors using ETFs using smart beta
• Advisors utilising smart beta younger with more AUM in ETFs and alternatives
• More than 70% of advisors adopting more than one smart beta approach

Tehran Stock Exchange Attends Second Europe - Iran Investment Forum

Date 28/09/2015

Tehran Stock Exchange's delegates attended the Second Europe - Iran Investment Forum, which was held on Thursday and Friday, 23 and 24 September 2015, in Geneva, Switzerland.

UAE's Securities And Commodities Authority Forces Dormant Account Mechanism On Brokerage Companies

Date 28/09/2015

The Securities and Commodities Authority (SCA) issued a decision concerning dormant customer accounts held at securities brokerage companies, forcing such companies to classify customer accounts with no financial activity or data update for three years into dormant, as per a number of stages and procedures.  

Platts JKM™ For October-Delivered LNG Down 5.9% From Month Ago - Year-Over-Year Decline of 41.2% For October Delivery Of Liquefied Natural Gas

Date 28/09/2015

Prices of physical spot market liquefied natural gas (LNG) delivered to northeast Asia averaged $7.538 per million British thermal units (/MMBtu) for October, according to the latest Platts Japan/Korea Marker (Platts JKM™) data for month-ahead delivery.

The Saudi Stock Exchange Announces Updated Frequently Asked Questions On The X-Stream Inet Trading Platform

Date 28/09/2015

To review the Updated Frequently Asked Questions Click Here.

SEC Charges Five With Insider Trading, Including Two Attorneys And An Accountant

Date 28/09/2015

The Securities and Exchange Commission today charged five Florida residents – including two lawyers and an accountant – with insider trading in advance of the acquisition of Pharmasset Inc. by Gilead Sciences Inc.

CBOE Holdings Announces Date Of Third-Quarter 2015 Earnings Release And Conference Call

Date 28/09/2015

CBOE Holdings, Inc. (NASDAQ: CBOE) will announce its financial results for the third quarter of 2015 before the market opens on Friday, October 30, 2015.  A conference call with remarks by CBOE Holdings, Inc. senior management will begin at 7:30 a.m. Central Time (CT). 

SEC Charges Hitachi With FCPA Violations

Date 28/09/2015

The Securities and Exchange Commission today charged Tokyo-based conglomerate Hitachi, Ltd. with violating the Foreign Corrupt Practices Act (FCPA) when it inaccurately recorded improper payments to South Africa’s ruling political party in connection with contracts to build two multi-billion dollar power plants.