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CFTC Orders Forex Capital Markets, LLC To Pay More Than $843,000 For Supervision And Record-Production Violations And For Violating A Previous Commission Order

Date 08/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against Forex Capital Markets, LLC (FXCM), a registered Futures Commission Merchant, for failing to diligently supervise its officers’, employees’, and agents’ handling of accounts held at FXCM in the name of a fraudulent foreign currency exchange pool, Revelation Forex Fund, LP (RFF). RFF was operated by Kevin G. White (White) and two entities he controlled (the White Entities).
BATS Global Markets Reports Record U.S. Equity And Options Market Share In August - European Equities Market Share Reaches 25.0% Remains On Track To Launch Hotspot London Matching Engine September 14 th

Date 08/09/2015

BATS Global Markets (BATS) today reported August data and highlights including record market share in both its U.S. equities and U.S. options businesses.
Finansinspektionen: Decision Regarding The Countercyclical Buffer Rate

Date 08/09/2015

Finansinspektionen (FI) shall, in accordance with the Capital Buffers Act (2014:966), set a countercyclical buffer guide and a countercyclical buffer rate for each quarter.
Smeeta Ramarathnam Named Deputy Director In The Office Of Credit Ratings

Date 08/09/2015

The Securities and Exchange Commission today announced that Smeeta Ramarathnam has been named Deputy Director in the Office of Credit Ratings. She begins her new role later this month.
CME Group Managing Director John Peschier To Present At UBS Conference 2015

Date 08/09/2015

CME Group announced today that Managing Director, Investor Relations John Peschier will present at the UBS Best of Americas Conference 2015, in London, on Thursday, September 10, 2015, at 10:50 a.m. (London Time).

TABB Group Hires Terry Roche As Principal, Head Of FinTech Research, Expanding Firm’s Technology Coverage Beyond Data & Analytics - Industry Veteran Brings More than 30 Years’ Experience Building And Managing Technology For Thomson Reuters, Reuters, HSBC, Salomon Brothers, Republic Bank Of NY And Telerate

Date 08/09/2015

TABB Group has brought on Terry Roche, an industry veteran with 30 years’ experience in capital markets technology and operations, as principal, head of fintech research. Based in New York, he will be expanding the research and consulting firm’s fintech practice beyond its data and analytics coverage.
SEC Charges Three RMBS Traders With Defrauding Investors

Date 08/09/2015

The Securities and Exchange Commission today announced fraud charges against three traders accused of repeatedly lying to customers relying on them for honest and accurate pricing information about residential mortgage-backed securities (RMBS).
CFTC Charges Tennessee And Kentucky Residents Rodney Scott Phelps And Jason T. Castenir And Their Company, Maverick Asset Management, LLC, With Commodity Pool Fraud And Other Violations - Federal Court Issues Emergency Order Freezing Assets And Protecting Books And Records

Date 08/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Chief Judge Kevin H. Sharp of the U.S. District Court for the Middle District of Tennessee issued an emergency Order freezing and preserving any remaining pool participant assets under the control of Maverick Asset Management, LLC, Rodney Scott Phelps, and Jason T. Castenir (Defendants) and another company that they control, Maverick Investment Holdings, LLC. The Order, entered under seal on August 25, 2015, also prohibits the Defendants from destroying books and records and grants the CFTC immediate access to those records.
ACER Publishes The REMIT Annual Report One Month Before Data Collection Starts On The Occasion Of Its 10th Public Workshop On Implementation

Date 08/09/2015

On the occasion of the Agency’s 10th Public Workshop on REMIT implementation and one month ahead of the entering into application of the obligation for trade and fundamental data reporting on 7 October 2015 to report wholesale energy contracts executed at organised market places, ACER published today its annual report on its activities under the EU regulation on wholesale energy market integrity and transparency (REMIT) in 2014.
SEC Charges Sports Nutrition Company With Failing To Properly Disclose Perks For Executives - Former Audit Committee Chair Among Four Individuals Charged

Date 08/09/2015

The Securities and Exchange Commission today charged a sports supplements and nutrition company with committing a series of accounting and disclosure violations, including the failure to properly report perks provided to its executives as compensation.