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Alberta Securities Commission Permanently Bans 2 Wongs Make It Right Enterprises From Capital Market

Date 02/12/2014

The Alberta Securities Commission (ASC) has found that 2 Wongs Make It Right Enterprises Ltd., 1409779 Alberta Ltd., Integrity Plus Management Inc., Khom Wong and Janeen Wong acted as dealers without registration and illegally distributed securities in relation to real estate developments. An ASC panel also found that Khom Wong acted as an adviser without registration, made misrepresentations to investors and perpetrated a fraud. These findings were consistent with admissions made by the named parties.
NZX November 2014 Shareholder Metrics

Date 02/12/2014

Please find attached Shareholder Metrics for November 2014.
Office Of Financial Research Cites Rising Risks - Third Annual Report To Congress Identifies Threats To U.S. Financial Stability That Have Risen In Past Year

Date 02/12/2014

The Office of Financial Research (OFR) submitted its 2014 Annual Report to Congress today, citing threats to the stability of the U.S. financial system that have risen in the last year.
Direct Edge Trading Notice #14-58: BATS Weekend Test Opportunity For New EDGA And EDGX Exchange Platforms In NY5 On December 13, 2014

Date 02/12/2014

BATS is pleased to offer Members the opportunity to participate in the third of four weekend testsof the new EDGA Exchange and EDGX Exchange trading platforms located in Equinix NY5 data center in Secaucus, NJ on Saturday, December 13, 2014. All symbols and functionality normally available in production will be made available for these weekend tests.
SGX Announces Delayed Market Open For Its Securities Market On 3rd December

Date 02/12/2014

Singapore Exchange (SGX) announces that the securities market will start continuous trading at 1230 hrs on 3rd December 2014, with the pre-open routine at 1200 hrs. This delayed opening is to enable member firms to complete client position reconciliations, and rectify any errors in the end-of-day processing for 1st December 2014 on the securities client-accounting system hosted by SGX on behalf of member firms. The market will remain open till 1700 hrs and close as per normal. The problem was caused by a software defect which has since been rectified.

FIA’s Eighth SEF Tracker Released - Trading Volumes Now Available From January Through September

Date 02/12/2014

FIA today published the eighth issue of FIA SEF Tracker, a periodic report on trading activity taking place on swap execution facilities.
SEC Charges California Resident With Fraudulent Sales Of Stock

Date 02/12/2014

The Securities and Exchange Commission today charged the owner of several now-defunct investment entities with fraudulently selling shares of stock that he claimed to own when he had actually purchased them for others a few years before.
Speech By Martin Wheatley, Chief Executive Of The UK Financial Conduct Authority, Delivered At The FCA’s Enforcement Conference, London.

Date 02/12/2014

The theme for this year’s event is culture and governance. A topic that’s not new of course, but has become increasingly significant. In fact, for leaders today, in business as well as in regulation and politics, there are few more pressing priorities than strong corporate culture. Nor, as we’ve seen post-foreign exchange (FX), more complex ones to deliver.
BOX Options Exchange Price Improvement Activity For November

Date 02/12/2014

In the month of November, price improved contractson BOX Options Exchange (“BOX”) averaged 210,140 per day, which represented a 45% increase over the same period last year. Price improvement versus the prevailing NBBO for contracts submitted via BOX’s price improvement auction, PIP, averaged $346,858 per day, while total savings to investors this month was $6.6M. With this, BOX has saved investors over $562M since its inception in 2004. Overall average daily trading volume on BOX in the month of November was 329,288 contracts, which represented a 5% decrease over the same period last year.
Speech By Tracey McDermott, Director Of Enforcement And Financial Crime At The UK Financial Conduct Authority (FCA), Delivered At The FCA’s Enforcement Conference, London

Date 02/12/2014

A lot of the interaction I have with firms is on a one-to-one basis in the context of the FCA’s investigations. Not always the best environment for a discussion about regulatory philosophy or how we improve culture and conduct across the industry more widely. So it is a pleasure to have you here in the more relaxed setting at the FCA's first enforcement conference to continue the conversation on how we regulate.