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CFTC Seeks To Revoke the Registrations Of John G. Wilkins And His Company, Altamont Global Partners LLC, Based On Court’s Permanent Injunction Order Prohibiting Them From Committing Further Fraud And On Wilkins’ Related Criminal Conviction

Date 25/11/2014

The U.S. Commodity Futures Trading Commission (CFTC) today filed a Notice of Intent (Notice) to revoke the registrations of Altamont Global Partners LLC (Altamont), a registered Commodity Pool Operator with its principal place of business in Longwood, Florida, and its registered Associated Person, John G. Wilkins, formerly of Chuluota, Florida. Wilkins is a principal, managing member and approximate one-third owner of Altamont.
FIA Issues Fourth Version Of Guide to Customer Fund Protections

Date 25/11/2014

FIA today issued an updated version of its guide to the rules and regulations relating to customer fund protections in the U.S.
CFTC Staff Issues No Action Relief for Family Offices From Commodity Trading Advisor Registration

Date 25/11/2014

The U.S. Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (Division) issued a no-action letter providing family offices relief from commodity trading advisor registration, in connection with advisory services they provide to family clients.
Successful Investor Relations Conference 2014 - For The Eighth Time Already, SIX Swiss Exchange Organized A Networking Platform For The Investor Relations Community

Date 25/11/2014

This year's edition of the Investor Relations Conference took place on 20 November 2014 in Zurich. The full-day event once again offered interesting presentations and panel discussions on a large scope of topics to around 100 visitors. In between, a networking lunch gave participants the opportunity to reconnect with existing contacts and also make new ones.
Moscow Exchange Launches Trading Of GBP And HKD

Date 25/11/2014

On 1 December 2014, Moscow Exchange will start trading of two new currency pairs, GBP/RUB and HKD/RUB, with today and tomorrow settlement and as overnight swaps. Like other currency pairs available on Moscow Exchange, the new pairs will trade from 10:00 am to 11:50 pm MSK.

Direct Edge Trading Notice #14-55: Post-Migration Pricing Accommodation For EDGA And EDGX Exchanges

Date 25/11/2014

EDGA Exchange and EDGX Exchange are pleased to announce a post-migration pricing accommodation for the month of January. Trading volumes from the first week of trading on the new platforms, which includes trading days of January 12 through 16, will be excluded from volume tier calculations for the month of January, pending filing with the SEC.
MIAX Options - Reminder - Change To Allow Orders Of Any Size To Initiate A PRIME Auction At Or Better Than The NBBO - Effective December 1, 2014

Date 25/11/2014

The MIAX Options Exchange filed to amend MIAX Rule 515A regarding PRIME to allow orders of any size to initiate a PRIME Auction on MIAX at a price which is at or better than the national best bid or offer (“NBBO”). The change will take effect on December 1, 2014.
Montréal Exchange Sets New Volume And Open Interest Records

Date 25/11/2014

TMX Group today announced that Montréal Exchange (MX) set an overall daily volume record of 846,803 contracts traded on November 24, 2014, surpassing the previous record of 799,225 contracts established on October 15, 2014.
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.