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ASIC Increasing Use Of Behavioural Economics Across Its Regulatory Business
Date 18/03/2015
ASIC today released two reports of behavioural economics (BE) research experiments conducted as part of its push to better understand market and consumer behaviour.
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Shanghai Futures Exchange: Notification On The Opening Of Mock Trading Of Nickel And Tin Futures
Date 18/03/2015
In order to ensure the successful listing of nickel and tin futures and intensify futures investor education, we will initiate the mock trading of nickel and tin futures. We expect our members and customers to develop a sound understanding of futures market and increase awareness of risk prevention with respect to nickel and tin futures through active participation in the mock trading. Details are as follows:1. The mock trading of nickel and tin futures is beginning on March 17, 2015, with its trading hours from 9:00 - 11:30 a.m. and 1:30 - 3:00 p.m.2. The benchmark price for mock trading of the listed nickel futures is set at RMB 105,000/ton and of the tin futures, at RMB 125,000/ton. -
Remarks From The LIMRA/LOMA 2015 Regulatory Compliance Exchange, Thomas M. Selman, FINRA Executive Vice President Regulatory Policy, Arlington, VA, March 18, 2015
Date 18/03/2015
On March 30, 1980, the rock and roll band Van Halen held a concert in the gymnasium of the University of Southern Colorado as part of its "Party 'til You Die Tour." Following the concert, the university hosted a dinner for Van Halen, with linens and silverware. According to university officials, the band "proceeded to act like a bunch of animals. They ate the lasagna with their hands, threw the food around the room, smashed the food on the walls and each other." The carpet, drapes and paint in the dining room had to be refurbished. The band's dressing room also was damaged. The university subsequently banned most campus concerts.
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Statement Of CFTC Chairman Timothy G. Massad In Support Of Adoption Of Amendments To CFTC Regulation 1.22 (Residual Interest Deadline For Futures Commission Merchants)
Date 18/03/2015
Today we are finalizing a change to a rule that concerns one of the most important objectives of the Commission, which is to protect customer funds. In addition, today’s action reflects one of my key priorities since taking office, which is to make sure our rules do not impose undue burdens or unintended consequences for the nonfinancial commercial businesses that depend on the derivatives markets to hedge commercial risks.
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Statement Of CFTC Commissioner Mark P. Wetjen In Support Of Adoption Of Amendments To CFTC Regulation 1.22 (Residual Interest Deadline For Futures Commission Merchants)
Date 18/03/2015
In the fall of 2013, the Commission made some important changes to rule 1.22, to which registered futures commission merchants (FCMs) are subject. The revision to this rule, known as the “residual-interest requirement”, clarified that one customer’s funds could not be used by an FCM to cover another customer’s margin deficit, but phased in a deadline for stricter compliance with this clarified standard. The change was designed to reduce risks to those customer funds placed in the care of FCMs, and were among a host of regulatory enhancements adopted by the Commission after two failures of large, registered FCMs in 2011 and 2012 – MF Global and Peregrine Financial.
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Statement Of CFTC Commissioner J. Christopher Giancarlo In Support Of Adoption Of Amendments To CFTC Regulation 1.22 (Residual Interest Deadline For Futures Commission Merchants)
Date 18/03/2015
I support the Commission’s action to change the residual interest deadline, if necessary or appropriate, only upon a Commission rulemaking following a public comment period. This approach will allow the Commission to better understand the market impacts and operational challenges of moving the residual interest deadline. This approach is especially important given the likely negative impacts on smaller futures commission merchants who provide our farmers, ranchers and rural producers with critical risk management services.
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CFTC Approves Final Rule On Residual Interest Deadline For Futures Commission Merchants
Date 18/03/2015
The U.S. Commodity Futures Trading Commission (Commission) today unanimously approved a final rule removing the December 31, 2018 automatic termination of the phased-in compliance period for the Residual Interest Deadline for futures commission merchants (FCMs).
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Bloomberg Reports BGC In Talks To Sell Technology Assets To CME Group ,
Date 17/03/2015
CME Group Inc. is said to have had held preliminary discussions with BGC about buying GFI Group Inc.’s technology assets after losing a takeover battle for the brokerage to BGC Partners Inc., reported Bloomberg, citing people with knowledge of the matter.
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TreveriMarket And Tradeyom Announce Deal On Platform Technology
Date 17/03/2015
TreveriMarket, the alternative global marketplace that connects innovative young companies with investors, on 11 March announced that it will use technology from Tradeyom to improve the efficiency and transparency of its fundraising process.
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SIFMA President And CEO Kenneth E Bentsen Jr Remarks As Prepared For SIFMA Compliance And Legal Society Annual Seminar
Date 17/03/2015
Good morning. I’m Ken Bentsen, president and CEO of SIFMA. Thank you for joining us at the 47th Annual Compliance & Legal Seminar.
Over the years the C&L Annual Seminar has evolved into SIFMA’s marquee event for the securities compliance and legal practice. As the role and responsibility of compliance and legal professionals continue to grow, it is critical that this forum of industry and regulators come together to educate each other and share ideas and concerns.
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