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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.

ISDA Launches IQ: ISDA Quarterly

Date 21/04/2015

The International Swaps and Derivatives Association, Inc. (ISDA) today unveiled IQ: ISDA Quarterly, the new official ISDA magazine that highlights the challenges and opportunities in the dynamic and global derivatives market. The magazine comes on the eve of ISDA’s 30th Annual General Meeting in Montreal.
New York Attorney General Eric T. Schneiderman Announces $1.8 Million Community Climate Initiative To Fund Locally-Based Responses To Climate Change - Competitive Grant Program Will Offer Funds To Local Organizations Statewide To Pilot Climate Initiatives Tailored To Their Communities - Funding For Program Obtained From Court-Ordered Settlement With American Electric Power For Violations Of Clean Air Act - Schneiderman: New York’s Communities Are On The Front Line Of Climate Change, So They Must Be Our First Line Of Defense Against It

Date 21/04/2015

Attorney General Eric T. Schneiderman today announced that the creation of a new $1.8 million program to fund the development of local responses to climate change. The Community Climate Initiative will provide competitive grants to locally-based organizations across the state to respond to climate change in their communities, from fostering public awareness in fighting air pollution that contributes to climate change to promoting energy efficiency or renewable energy. Funding for the Community Climate Initiative was obtained through a 2007 court-ordered settlement with American Electric Power, the largest U.S. power company, for violations of the federal Clean Air Act.
Tradermade Systems Ltd. Unveils Maverick 4.1 Upgrade - New Features And Functionality Contribute To Enhanced Productivity

Date 21/04/2015

Tradermade Systems Ltd., a provider of real-time market data and proprietary analytics software to central banks, leading corporations, financial institutions and individual traders, today unveiled Maverick 4.1, an upgraded version of its industry-leading Maverick charting solution. The upgrade includes new features and usability enhancements which are relevant to all platform users and specifically designed to increase a user's work efficiency.
Remarks At University Of South Carolina And UNC-Charlotte 4th Annual Fixed Income Conference, SEC Commissioner Michael S. Piwowar, April 21, 2015

Date 21/04/2015

Thank you, Jean [Helwege] and Dolly [King], for inviting me to speak at this great conference. I always enjoy getting back to college campuses and spending time with students and fellow academics. Of course, I am using the term “fellow academics” a bit loosely. Although I spent my early career producing academic research, my intervening years in Washington, DC probably make it more accurate to call me a “reformed academic.” The reality is that I am now strictly a consumer of your scholarly work. In my current role, I am constantly reminded of the value of quality academic research to our financial markets, and more specifically the great insights it can provide to financial regulators. Research is particularly important in the area that is the focus of this conference: fixed income markets.
CFTC Charges U.K. Resident Navinder Singh Sarao And His Company Nav Sarao Futures Limited PLC With Price Manipulation And Spoofing - The CFTC Complaint Alleges That Defendants’ Manipulative Conduct Contributed To The Market Conditions That Led To The May 6, 2010 Flash Crash

Date 21/04/2015

The U.S. Commodity Futures Trading Commission (CFTC) today announced the unsealing of a civil enforcement action in the U.S. District Court for the Northern District of Illinois against Nav Sarao Futures Limited PLC (Sarao Futures) and Navinder Singh Sarao (Sarao) (collectively, Defendants). The CFTC Complaint charges the Defendants with unlawfully manipulating, attempting to manipulate, and spoofing — all with regard to the E-mini S&P 500 near month futures contract (E-mini S&P). The Complaint had been filed under seal on April 17, 2015 and kept sealed until today’s arrest of Sarao by British authorities acting at the request of the U.S. Department of Justice (DOJ). After the arrest, the DOJ unsealed its own criminal Complaint charging Sarao with substantively the same misconduct.