News Centre

CFTC Publishes List Of Foreign Entities That Illegally Solicit U.S. Residents To Trade Foreign Currency And Binary Options - The New Registration Deficient ‘RED List’ Identifies Companies Operating Illegally

Date 09/09/2015

As part of the U.S. Commodity Futures Trading Commission’s (CFTC) ongoing efforts to help protect Americans from fraud, today the agency launched the “RED List,” a new tool that allows investors to identify unregistered foreign entities that may be engaged in illegal practices.

SEC Charges Father And Son And Friend With Insider Trading

Date 09/09/2015

The Securities and Exchange Commission today charged a father, son, and friend in Northern California with insider trading in advance of a merger of health care companies based on confidential information the father learned from a close friend working at one of the companies.

Keynote Address Of CFTC Chairman Timothy G. Massad Before The Beer Institute Annual Meeting

Date 09/09/2015

Introduction

Good afternoon and thank you, Jim for that warm welcome.

As someone who likes beer, it’s a pleasure to speak with many of the companies responsible for producing and importing it in the United States.

SEC Announces Fraud Charges Against Financial Adviser Accused Of Greatly Exaggerating Assets Under Management And Investment Returns On Paid Radio Program

Date 09/09/2015

The Securities and Exchange Commission today announced fraud charges against a Maryland-based financial services firm and its founder/CEO accused of grossly inflating the amount of managed assets and exaggerating the investment returns actually obtained for customers.

CFTC: Commodity Pool Operator Sentenced To 17 Years’ Incarceration For Fraud

Date 09/09/2015

Donovan Davis Jr., one of three Principal Defendants charged by the CFTC for the fraudulent operation of Capital Blu Management, LLC of Melbourne, Florida, was sentenced to 17 years in a federal prison on August 27, 2015.

SEC Charges BDO And Five Partners in Connection With False and Misleading Audit Opinions

Date 09/09/2015

The Securities and Exchange Commission today charged national audit firm BDO USA with dismissing red flags and issuing false and misleading unqualified audit opinions about the financial statements of staffing services company General Employment Enterprises. 

FESE European Equity Market Report – August 2015 Figures

Date 09/09/2015

The European Equity Market Report is a piece of analysis that allows for an accurate comparison of trading statistics across European trading venues.

Xignite To Unveil Financial Data Streaming Solution At Finovate Fall 2015 In New York City - Leading Provider Of Market Data APIs Will Also Announce Industry-Wide Fintech Initiative

Date 09/09/2015

Xignite, the leading provider of market data cloud solutions for financial services has been selected to present at Finovate Fall 2015, a demo-based conference for companies developing applications in the fields of banking and financial technology. Stephane Dubois, Xignite CEO and founder, will unveil the company’s new financial data streaming solution and demonstrate how it will greatly simplify the development of digital financial applications. Xignite will also announce a new industry-wide fintech initiative, involving more than 20 financial technology vendors, data providers, service providers and accelerators, which promises to have transformative potential for the global fintech community.

Three New iShares Smart Beta ETFs Launched On Xetra - ETFs Provide Access To MSCI Multi-Factor Index Family

Date 09/09/2015

Three new iShares ETFs from BlackRock's product offering have been tradable via Xetra and Börse Frankfurt since Wednesday.

Interactive Data Expands Connectivity Through Australian Liquidity Center And Australian Securities Exchange 24 ITCH™ Feed - Enhancing Global Opportunities For Interactive Data Clients

Date 09/09/2015

Interactive Data, a leading trusted provider of information for over 10 million financial instruments, today announced that has added access to the Australian Liquidity Center (ALC) in Sydney and its Consolidated Feed has added connectivity to the Australian Securities Exchange (ASX) 24 ITCH™ Feed. The addition of ALC and ASX 24 ITCH™ Feed are designed to enhance connectivity across Chicago, Sydney and Tokyo and better support global interest rate arbitrage strategies with a localized, low-latency network.