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Financial Stability Oversight Council Releases Request For Comment On Asset Management Products And Activities - Council Seeks Public Comment On Potential Financial Stability Risks Related To Liquidity And Redemptions, Leverage, Operational Functions, And Resolution

Date 18/12/2014

The Financial Stability Oversight Council (Council) today voted [unanimously] to release a noticeseeking public comment regarding potential risks to U.S. financial stability from asset management products and activities. The Council is seeking input from the public about potential risks to the U.S. financial system associated with liquidity and redemptions, leverage, operational functions, and resolution in the asset management industry.
CFTC Staff Issues Extensions Of No-Action Relief To Four Foreign Clearing Organizations

Date 18/12/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Clearing and Risk (DCR) today issued extensions of no-action relief to four foreign clearing organizations: ASX Clear (Futures) Pty Limited, Clearing Corporation of India Ltd., Korea Exchange, Inc., and OTC Clearing Hong Kong Limited.
CSDR: ESMA Consults On Implementing Measures For New Settlement Regime

Date 18/12/2014

The European Securities and Markets Authority (ESMA) has launched three consultations on proposed technical standards, technical advice and guidelines implementing the Central Securities Depositories Regulation (CSDR).
Direct Edge Trading Notice #14-61: Holiday Reminder – Closing Early On Wednesday, December 24, 2014 And Closed On Thursday, December 25

Date 18/12/2014

In observance of the Christmas holiday, BYX Exchange, BZX Exchange, EDGA Exchange, EDGX Exchange, and BATS Options will close early on Wednesday, December 24, 2014 and will be closed on Thursday, December 25, 2014. The exchanges will resume normal trading hours on Friday, December 26, 2014.
FSB: Public Responses To The October 2014 Consultative Document ‘Identification Of Critical Functions For Systemically-Important Insurers’

Date 18/12/2014

On 16 October 2014, the FSB published its consultative document entitled “Identification of the critical functions and critical shared services for systemically-important insurers”. Interested parties were invited to provide written comments by 15 December 2014. These comments are available below.

Thomson Reuters Selects Canadian-Based PriceMetrix To Enhance Proposal Generation Service For Wealth Managers - Integration Of Thomson Reuters Proposal Generation Tool (PropGen) With PriceMetrix FeeCheck™ Enables Financial Advisors To Make Informed Decisions For Managed Accounts

Date 18/12/2014

Thomson Reuters, the world's leading source of intelligent information for businesses and professionals, today announced that PriceMetrix’s proprietary database of fee and managed accounts history will be offered as part of Thomson Reuters Wealth Management Solutions. Thomson Reuters Proposal Generation tool (PropGen), combined with PriceMetrix FeeCheck, will enable advisors to produce targeted proposals that better meet individual customer needs and align with firm compliance requirements.
Temporary Prohibition Of Short Selling: Banco BPI, S.A.

Date 18/12/2014

The Financial Conduct Authority (“FCA”) notifies that it temporarily prohibits short selling in the following instrument under Articles 23 (1) and 26 (4) of Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012. This follows a decision made by another EU Competent Authority.
Federal Court Orders Commodity Pool Operator And Commodity Trading Advisor AlphaMetrix, LLC To Pay $5.6 Million In Restitution And Penalties - Court Also Orders AlphaMetrix’s Parent Company, AlphaMetrix Group, Llc, To Pay $2.8 Million In

Date 18/12/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that on December 16, 2014, Judge Joan H. Lefkow of the U.S. District Court for the Northern District of Illinois entered a Consent Order for permanent injunction against AlphaMetrix, LLC (AlphaMetrix), a Chicago-based Commodity Pool Operator (CPO) and Commodity Trading Advisor (CTA), and its parent company AlphaMetrix Group, LLC (AlphaMetrix Group). The Order requires AlphaMetrix to pay restitution of $2.8 million and a civil monetary penalty of $2.8 million and requires AlphaMetrix Group to pay disgorgement of $2.8 million. The Order also prohibits AlphaMetrix from further violating anti-fraud provisions of the Commodity Exchange Act (CEA), as charged.
FIF Capacity Statistics For November 2014 - One New Record 1 Second Peak: BATS Options MCASTPITCH AGG

Date 18/12/2014

This month’s bulletin from the Financial Information Forum (FIF) finds that SIAC OPRA was down 18% to 7,866,503 mps over the 1 second interval.
Pirum RQV Automation Milestone

Date 18/12/2014

Pirum Systems Tri-party RQV Automation service, live with both JP Morgan and BNY Mellon, has reached a significant milestone with processed RQV’s (required value) reaching over 130bn USD daily.