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  • Nasdaq To Provide SMARTS Market Surveillance Technology To Japan Electric Power eXchange

    Date 22/04/2015

    Japan Electric Power eXchange (JEPX), the primary exchange for electricity in Japan, has announced that they will enhance their market oversight capabilities with Nasdaq's (Nasdaq:NDAQ) leading SMARTS Market Surveillance platform. The technology will give JEPX the surveillance tools to monitor spot and forward transactions of electricity for market manipulation, as well as complex analytical capabilities. The surveillance system will be operational before the full deregulation of Japan's electricity industry which is slated to enter into the country's retail sector in April 2016. Mitsubishi Electric Corporation (MELCO) will be the system integrator for this project.

  • BISX Adds A New Member And Lists 3 Sub-Funds

    Date 22/04/2015

    The Bahamas International Securities Exchange (BISX) is pleased to announce that Colonial Pension Services (Bahamas) Ltd. (“Colonial Pension”) has applied for and been approved as a BISX Sponsor Member. BISX Sponsor Members are responsible for bringing mutual fund listings to the Exchange and acting as the first point of contact for mutual funds while they are engaged in the listing application process with the Exchange. Colonial Pension Services becomes the eighth Sponsor Member to join BISX, and brings to the Exchange a wealth of experience in the areas of wealth and pension fund management.

  • Ontario Securities Commission Staff Notice – Notice Of Commission Approval Of Proposed Changes To Alpha Exchange Inc. (“Alpha”)

    Date 21/04/2015

    On April 16, 2015, the Ontario Securities Commission approved proposed amendments to Alpha’s Trading Policies that were published on November 6, 2014, subject to a revision and to terms and conditions noted below.

  • CFTC Charges Florida-Based Sentry Asset Group, LLC And Its Owner, John Pakel, With Engaging In Illegal, Off-Exchange Precious Metals Transactions

    Date 21/04/2015

    The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a civil enforcement action in the U.S. District Court for the Southern District of Florida against Defendants Sentry Asset Group, LLC (SAG) of Boca Raton, Florida, and its owner and manager, John Pakel of Del Ray, Florida. The CFTC Complaint charges the Defendants with engaging in illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined, or financed basis. The Complaint further alleges that as controlling person for SAG, Pakel is liable for SAG’s violations of the Commodity Exchange Act (CEA).

  • British Columbia Securities Commission Releases 2014 Enforcement Report

    Date 21/04/2015

    The British Columbia Securities Commission (BCSC) today released a report detailing its enforcement activities for 2014. The report provides a high-level overview of the BCSC’s efforts to deter misconduct, protect investors, and ensure that B.C.’s capital markets function fairly and efficiently. This is the first Enforcement Report published by the BCSC.