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Remarks To The Practising Law Institute, Hedge Fund Management Seminar 2014, Norm Champ, Director, Division Of Investment Management, U.S. Securities And Exchange Commission, New York, NY, Sept. 11, 2014

Date 11/09/2014

Thank you, Nora, for the kind introduction. Good morning and thank you for inviting me to speak to you today. Before proceeding, let me remind you that the views I express are my own and do not necessarily reflect the views of the Commission, any of the Commissioners, or any of my colleagues on the staff of the Commission.
CBOE And C2 In Discussions On Regulatory Services Agreement With FINRA

Date 11/09/2014

CBOE Holdings, Inc. (NASDAQ: CBOE) today announced that Chicago Board Options Exchange (CBOE) and C2 Options Exchange(C2) are in discussions with the Financial Industry Regulatory Authority (FINRA) on a potential agreement for FINRA to provide certain regulatory services to the CBOE and C2 options markets.
TMX Group Kicks Off Trade Canada U.S. Roadshow In Chicago

Date 11/09/2014

TMX Group today launched its 2014 U.S. campaign in Chicago with a conference event to discuss issues of impact in Canadian capital markets.
Dr. Omran In New York For One Day To Participate In 3 Activities During Egypt?s Day On 12 September 2014 - NASDAQ OMX To Celebrate EGX Chairman By Ringing Of Closing Trading Of The Day Ceremony - EGX Chairman IS The Keynote Speaker At A Meeting With The World's Largest Financial Institutions And Participates In The Egyptian Day Organized A Bank HSBC Global

Date 11/09/2014

Dr. Mohammad Omran Chairman of EGX holds 3 meetings on Friday, 12 January 2014 with some of the largest financial institutions in the world. The day begins with a meeting at the headquarters of the Bank of New York- Merrill Lynch, having Dr. Omran as the keynote speakers to a number of financial institutions to discuss the Government's efforts to improve the environment Investment.
CFTC Financial Data For Futures Commission Merchants Update

Date 11/09/2014

Futures commission merchants (FCMs) and retail foreign exchange dealers (RFEDs) must file monthly financial reports with the CFTC's Division of Swap Dealer and Intermediary Oversight (DSIO) within 17 business days after the end of the month. Selected financial information from these reports is published below. The most recent month-end information generally is added within 12 business days after FCMs and RFEDs file their reports, but occasionally may be added later. For example: The 17th business day filing “due date" for February 28, 2013 financial reports was March 25, 2013. The 12 business day target for posting these data was April 10, 2013.

SEC Announces Creation Of New Office Within Its Division Of Economic And Risk Analysis - Office Of Risk Assessment Will Coordinate Efforts To Create More Effective Data-Driven Risk Assessment Tools

Date 11/09/2014

The Securities and Exchange Commission today announced the creation of a new office within the Division of Economic and Risk Analysis (DERA) that will coordinate efforts to provide data-driven risk assessment tools and models to support a wide range of SEC activities.
Digital Currencies: Bank Of England Quarterly Bulletin 2014 Q3 Pre-Release Articles

Date 11/09/2014

Innovations in payment technologies and the emergence of digital currencies (426KB)
By Robleh Ali, John Barrdear, Roger Clews and James Southgate

When payment systems were first computerised, the underlying processes were not fundamentally changed. This article discusses more recent developments in payment systems, focusing on the emergence of privately developed, internet-based digital currencies.
FINRA Issues New Investor Alert, Frontier Funds—Travel With Care

Date 11/09/2014

The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Frontier Funds—Travel With Care cautioning investors interested in funds that invest in frontier markets to carefully consider the heightened risks in these markets. While there is no precise definition of a frontier market, frontier funds generally invest in companies located in countries with developing securities markets such as Argentina, Lebanon, Nigeria, Slovenia and Vietnam.
SEC Charges Bank Holding Company In Delaware With Improper Accounting And Disclosure Of Past Due Loans

Date 11/09/2014

The Securities and Exchange Commission today announced accounting and disclosure fraud charges against a Delaware-based bank holding company for failing to report the true volume of its loans at least 90 days past due as they substantially increased in number during the financial crisis.
ESMA Announces Open Hearing On CRAs - Periodic Information To Be Submitted To ESMA

Date 11/09/2014

The European Securities and Markets Authority (ESMA) will hold an open hearing on the issues raised in the recently published Consultation paper on periodic information to be submitted to ESMA by Credit Rating Agencies.