News Centre

CFTC Swaps Report Update

Date 10/12/2014

CFTC's Weekly Swaps Report has been updated, and is now available.

SEC Names Karol Pollock To Lead Exam Program In Los Angeles Office

Date 10/12/2014

The Securities and Exchange Commission today announced that Karol L.K. Pollock has been named the new leader of the examination program in the Los Angeles Regional Office.

NZX Announces Regulation Initiatives

Date 10/12/2014

NZX today announced a number of governance and process initiatives that will improve both its communication of regulatory decisions and processes and its arrangements for handling perceived or potential conflicts.

Trading Technologies Wins “Prop Traders’ ISV Of The Year” At FOW International Awards - Proprietary Traders Select X_TRADER® As The Most Innovative And Useful Technology For Their Needs

Date 10/12/2014

Trading Technologies International, Inc. (TT), a provider of high-performance professional trading software, was named “Prop Traders’ ISV of the Year” by FOW magazine at the FOW International Awards yesterday in London. TT was selected for this award by proprietary traders who voted inFOW’s annual proprietary trading survey.

Direct Edge Trading Notice #14-60: EDGA And EDGX Post-Migration Communications

Date 10/12/2014

As part of the BATS/Direct Edge integration, effective upon the migration to the BATS trading platform on January 12, 2015, the Direct Edge website will be retired. Therefore, starting January 12th, all trading, product and pricing information for the EDGA Exchange and the EDGX Exchange will be available at www.batstrading.com and www.bats.com.

CFTC Orders IBFX, Inc. F/K/A Tradestation Forex, Inc. To Pay A $600,000 Penalty For Series Of Minimum Net Capital Deficits, Untimely Notice, And A Failure To Supervise

Date 10/12/2014

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against IBFX, Inc. f/k/a Tradestation Forex, Inc. (IBFX), a Florida-based Retail Foreign Exchange Dealer (RFED), for violating CFTC Regulations by failing to meet the minimum net capital requirements on three separate occasions, failing to timely report one of the minimum net capital deficits, and failing to supervise its employees and agents diligently by establishing, implementing, and executing an adequate supervisory structure and compliance programs.

SEC Announces Fraud Charges Against Buffalo-Based Firm And Co-Owners Accused Of Misleading Investors In Hedge Fund - Hedge Fund’s Portfolio Manager Agrees To Settle Charges

Date 10/12/2014

The Securities and Exchange Commission today announced fraud charges against a Buffalo, N.Y.-based investment advisory firm and two co-owners accused of making false and misleading statements to clients when recommending investments in a risky hedge fund.  The hedge fund’s portfolio manager agreed to settle similar charges.

Eurex Waives Fees For EURIBOR Futures - Zero Fees Period Announced Until March 2015 - T7 Trading System Release Provides New EURIBOR-Related Functionalities And Features

Date 10/12/2014

The international derivatives market Eurex Exchange has today announced a new initiative designed to further enhance the appeal of its short-term interest rate derivatives suite.

UK Financial Conduct Authority Response To The Davis Review

Date 10/12/2014

Introduction 

On 8 April 2014 the Financial Conduct Authority’s (FCA) Non-Executive Directors appointed Simon Davis of Clifford Chance to conduct an independent inquiry into the handling of the FCA’s announcement of proposed supervisory work on the fair treatment of long standing customers in life insurance. The FCA has now published the report of Mr Davis’ review in full.

SEC Penalizes Morgan Stanley For Violating Market Access Rule

Date 10/12/2014

The Securities and Exchange Commission today penalized Morgan Stanley & Co. LLC for violating the market access rule when it failed to uphold credit limits for a customer firm with a rogue trader who engaged in fraudulent trading of Apple stock.