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CFTC’s Division Of Market Oversight Issues Time-Limited No-Action Relief From Electronic Reporting Requirements In The OCR Final Rule

Date 10/02/2015

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Market Oversight (DMO) today issued a no-action letter (CFTC Letter No. 15-03) that provides additional time for reporting parties to comply with certain reporting requirements of the ownership and control final rule (OCR Final Rule).
UK Parliament: Treasury Committee Questions John Griffith-Jones, Chairman, And Martin Wheatley, Chief Executive, Financial Conduct Authority

Date 10/02/2015

The Treasury Committee holds oral evidence hearings with the Financial Conduct Authority approximately every six months as part of the Committee's remit to scrutinise their work. The Committee is therefore taking evidence from John Griffith-Jones, Chairman, and Martin Wheatley, Chief Executive, Financial Conduct Authority.
BOX To Launch Realized Volatility Options On VolX Patented Concept

Date 10/02/2015

BOX Options Exchange (BOX) and The VolX Group (VolX), architects of RealVol™ Products, announced that they have entered into an exclusive licensing agreement whereby BOX will list RealVol SPY Options (VOLS) for trading. BOX filed on January 21, 2015 for approval to list VOLS with the U.S. Securities and Exchange Commission and will begin listing the options once approval is received. VOLS will be the first exchange-traded options based on the realized volatility of the broad U.S. equity market.
SGX On Track For Minimum Trading Price Introduction

Date 10/02/2015

Singapore Exchange’s (SGX) introduction of a minimum trading price (MTP) for Mainboard companies is aimed at improving the quality of the Singapore stock market; higher-priced shares have better liquidity, lowering transaction cost for investors. Such shares are also less susceptible to speculation and market manipulation.
FSB Chair's Letter To G20 On Financial Reforms – Finishing The Post-Crisis Agenda And Moving Forward

Date 10/02/2015

Addressing new risks and vulnerabilities: Closing data gaps and sharing analysis and policy choices will be vital to allow national authorities to understand and react to risks effectively and promptly. In addition, the FSB will focus on co-ordinating efforts to address two specific emerging vulnerabilities: market-based finance and misconduct.

CFTC Chairman Massad To Testify Before The U.S. House Agriculture Committee

Date 10/02/2015

Chairman Massad will provide 2015 agency outlook before the U.S. House Committee on Agriculture.
SEC Announces Half-Million Dollar Clawback From CFOs Of Silicon Valley Company That Committed Accounting Fraud

Date 10/02/2015

The Securities and Exchange Commission today announced that two former CFOs have agreed to return nearly a half-million dollars in bonuses and stock sale profits they received while their Silicon Valley software company was committing accounting fraud.
CFTC Chairman Massad To Testify Before The U.S. House Appropriations Subcommittee

Date 10/02/2015

Chairman Massad will testify before the U.S. House Committee on Appropriations Subcommittee on Agricultural, Rural Development and Food and Drug Administration regarding CFTC’s 2016 budget request.
ACER Review Of 2014 Regional Initiatives For Energy Market Integration Highlights Coupling From The Strait Of Gibraltar To The Barents Sea

Date 10/02/2015

Important milestones such as the implementation of the European Price Coupling linking the electricity markets from the Strait of Gibraltar to the Barents Sea are highlighted in the last edition of the ACER Regional Initiatives report on progress made on regional and cross-regional market integration last year. The report also describes obstacles faced in 2014 and challenges ahead. ACER, which is in charge of coordinating this ‘bottom-up’ approach to market integration, has produced the report in line with its Annual Work Programme to assess the progress achieved with the specific project-approach in the electricity and gas fields. Being 2014 the deadline set the Council of the EU for the completion of the Internal Energy Market, this report observes the progress achieved as well as the difficulties in order to draw useful lessons for the coming implementation of the binding Network Codes. This move from the voluntary to the mandatory process will mark a new era in which the Agency and the National Regulatory Authorities have additional tools for achieving the Internal Energy market. You can find out more here.
SEC Charges Former Brokerage CEO For His Role In Fraudulent Scheme

Date 10/02/2015

The Securities and Exchange Commission today announced that the former CEO of a global investment services firm’s brokerage subsidiary agreed to pay more than $783,000 and admit wrongdoing to settle a case involving employees under his control misleading customers.