News Centre

SEC Charges HSBC’s Swiss Private Banking Unit With Providing Unregistered Services To U.S. Clients - Firm Admits Wrongdoing To Settle Case

Date 25/11/2014

The Securities and Exchange Commission today charged HSBC’s Swiss-based private banking arm with violating federal securities laws by failing to register with the SEC before providing cross-border brokerage and investment advisory services to U.S. clients.

CFTC Charges California Resident Thomas Gillons With Fraud And Acting As An Unregistered Futures Commission Merchant - Federal Court Issues Emergency Order Freezing Gillon’s Assets And Protecting Books And Records

Date 25/11/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a civil enforcement action in the U.S. District Court for the Northern District of Illinois, charging DefendantThomas Gillons of Napa County, California, with fraud and acting as a Futures Commission Merchant (FCM) without being registered as such with the CFTC.

ADX Lists National Investor In Secondary Market

Date 25/11/2014

In a ceremony held at the Abu Dhabi Securities Exchange (ADX) in the presence of Mr. RashedAl Balooshi, CEO of ADX, and Mr. Yasser Geissah, CEO of The National Investor, as well as a number of senior staff from both organizations, ADX announced the listing of National Investorin the Exchange’s Second Market for private companies under the symbol TNI.  The company’sshares started trading on the 25th of November.

“The Importance of Small Business Capital Formation” By Commissioner Luis A. Aguilar U.S. Securities And Exchange Commission Forum On Small Business Capital Formation Washington, DC November 20, 2014

Date 25/11/2014

Thank you and good morning.  Let me start by extending a warm welcome to the panel members and other participants, including those viewing by webcast, to today’s Forum on Small Business Capital Formation.  I look forward to your discussions.  Before I begin, let me note that these remarks are my own, and do not necessarily reflect the views of the U.S. Securities and Exchange Commission (“SEC” or “Commission”), my fellow Commissioners, or members of the Commission’s staff.

New Moscow Exchange Regional Index Methodology To Come Into Force

Date 25/11/2014

A new version of the Moscow Exchange Regional Index Methodology comes into force on 10 December, and includes:

Euronext Paris To Relocate

Date 25/11/2014

Euronext Paris, which houses the pan-European operational headquarters of the group, today announced plans to relocate to the Praetorium site at La Défense, the business district west of Paris. The move will take place in the second quarter of 2015.

ISDA Launches Principles On CCP Recovery

Date 25/11/2014

The International Swaps and Derivatives Association, Inc. (ISDA) today announced the publication of a set of key principles on the adequacy and structure of central counterparty (CCP) loss-absorbing resources and on CCP recovery and resolution.

Osaka Exchange: Start Of Trading Of JPX-Nikkei 400 Futures

Date 25/11/2014

JPX-Nikkei 400 Futures was launched on November 25, 2014.

Trading volume of Day Session on the first day was 71,514 units (preliminary estimates), and the figure ranks third in ever listed products on Osaka Exchange behind Nikkei 225 mini and Nikkei 225 Options.

China Securities Regulatory Commission Approves Trading Of Corn Starch Futures On Dalian Commodity Exchange

Date 25/11/2014

Recently, the China Securities Regulatory Commission (CSRC) has approved the trading of the corn starch futures on Dalian Commodity Exchange (DCE). The specific listing time for the contracts will be set by DCE according to the preparatory progress. 

European Data Protection Supervisor: Rebuilding Trust In Financial Services Markets: 10 Steps For Responsible Handling Of Personal Information

Date 25/11/2014

Data protection can support the European economy, said the European Data Protection Supervisor (EDPS) today, following the publication of his Guidelines on data protection in EU financial services regulation.  In his guidelines, the EDPS explains how the close supervision of financial markets should respect the rights of individuals to privacy and data protection in addition to rebuilding trust in markets for financial services.