News Centre

ICAP Electronic Broking: September 2014 Volumes

Date 02/10/2014

Average daily volume (in USD billions, single count)

New Records On Moscow Exchange's Money Market

Date 02/10/2014

Moscow Exchange's Money Market showed strong trading volume growth in most instruments.

ASIC And AFSA Announce Refreshed Memorandum Of Understanding

Date 02/10/2014

Australian Financial Security Authority’s Chief Executive Veronique Ingram and Commissioner John Price of the Australian Securities and Investments Commission (ASIC) have announced the release of a new Memorandum of Understanding (MOU) between AFSA and ASIC.

Remarks By US Assistant Attorney General For The Criminal Division Leslie R. Caldwell At The 22nd Annual Ethics And Compliance Conference

Date 01/10/2014

Thank you, for that kind introduction.  And thank you to the Ethics and Compliance Officers Association for inviting me to speak with you today about the important topic of corporate compliance.  I understand that you have been hosting these conferences for more than 20 years, and I commend you for that!  

The Challenge Of Coverage, Accountability And Deterrence In Global Enforcement, SEC Chair Mary Jo White, IOSCO 39th Annual Conference, Rio de Janiero, Oct. 1, 2014

Date 01/10/2014

I. Introduction

Thank you, David Wright, for that kind introduction.  As securities regulators from around the globe gather this week for the IOSCO Annual Conference, there is complete unanimity among us that strong enforcement of our securities laws is critical to protecting investors and maintaining their confidence and to safeguarding the stability of our markets.  We also all face the challenge of ensuring that we have the resources and reach to police our increasingly global markets, bring wrongdoers to account and to send the strongest possible message of deterrence to would-be fraudsters. 

OneChicago Announces September 2014 Trading Volume Increase Of 7% Year-Over-Year

Date 01/10/2014

• Third Quarter 2014 Trading Volume Increases 21% as Compared with Third Quarter 2013
• Average September Block Trade Size was 755 (75,500 share equivalent)

PIMCO Statement Regarding September Total Return Net Flows

Date 01/10/2014

September monthly net flows for the Total Return Fund were estimated to be -$23.5bn. Of note, the largest daily outflow occurred on the day of Bill Gross’s resignation from the firm, while outflows on the two following days were considerably smaller.

Federal Court Orders Eric Moncada To Pay $1.56 Million Penalty For Attempting To Manipulate The Wheat Futures Market - Order Finds That On Multiple Trading Days, Moncada Entered And Canceled Orders He Never Intended To Fill

Date 01/10/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court Consent Order against Defendant Eric Moncada, finding that Moncada attempted to manipulate the wheat futures markets on numerous occasions and imposing a $1.56 million civil monetary penalty and trading and registration restrictions. In July 2014, the court had issued an Order granting the CFTC summary judgment on charges that Moncada entered into fictitious sales and non-competitive transactions (see Order under Related Links).

IMF Update: Global Financial Stability Report

Date 01/10/2014

IMF Global Financial Stability Report: Risk Taking, Liquidity, and Shadow Banking: Curbing Excess While Promoting Growth

http://www.imf.org/external/pubs/ft/gfsr/2014/02/index.htm

CFTC Swaps Report Update

Date 01/10/2014

CFTC's Weekly Swaps Report has been updated, and is now available.