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March Into New On-line Voting Era - Shenzhen Stock Exchange Optimized And Upgraded Online Voting System

Date 10/09/2014

Recently, Shenzhen Stock Exchange (SZSE) released revised Shenzhen Stock Exchange Implementation Rules on Online Voting at the General Meeting of Listed Company (hereinafter referred as Implementation Rules) and Shenzhen Stock Exchange Business Guidance on Identification of the Investors’ Online Identity (hereinafter referred as Business Guidance), prioritizing and upgrading online voting system comprehensively.
CFTC Staff Issues Exemptive Letter Providing Relief From Certain Agency Regulations To Be Consistent With JOBS Act SEC Amendments

Date 10/09/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued an exemptive letter, which provides relief from certain provisions of Regulations 4.7(b) and 4.13(a)(3) restricting marketing to the public.
S&P, Markit Final Bidders for Barclays Index Unit - Reuters

Date 09/09/2014

According to Reuters, Standard & Poor's and Markit have emerged as final bidders Barclays Plc's index business.
Cryptzone Acquires HiSoftware - Combined Company Offers Powerful Suite Of Dynamic Access Management, Data Security And Compliance Solutions

Date 09/09/2014

Cryptzone, a global provider of data security and identity and access management (IAM) solutions, has acquired HiSoftware Inc., a leading provider of governance, compliance and security solutions. HiSoftware’s product portfolio provides a highly complementary set of solutions that will enhance Cryptzone’s already robust capabilities in securing critical data in the cloud, on mobile devices, and in customer data centers. The combined company will offer a complete suite of context-aware access control, data security and compliance solutions designed for today’s dynamic, mobile, cloud-centric enterprise IT. Cryptzone will be headquartered in Boston, Massachusetts and have a European center of excellence in engineering located in Gothenburg, Sweden, its birthplace. Combined, the companies will have more than 700 customers including large global enterprises like JPMorgan Chase, Northrup Grumman, AIG, Proctor & Gamble, State Street Trust, New York Presbyterian, ANZ Bank, and California State University, as well as some large U.S. government agencies such as the Departments of Commerce, Department of Homeland Security, Office of Secretary of Defense, and Department of Treasury/IRS.

CFTC To Hold An Open Meeting To Consider A Proposed Rule On Margin Requirements And A Final Rule On Utility Special Entities

Date 09/09/2014

U.S. Commodity Futures Trading Commission (CFTC) Chairman Tim Massad announced today that the Commission will hold a public meeting on Wednesday, September 17, 2014 at 2 p.m. EDT to consider:


WHAT:		Proposed Rule on Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants Final Rule on Exclusion of Utility Operations-Related Swaps with Utility Special Entities from De Minimis Threshold for Swaps with Special Entities

Former TierOne Bank Executive Pleads Guilty For His Role In Scheme To Defraud Bank’s Shareholders And Regulators

Date 09/09/2014

A former senior vice president and chief credit officer of TierOne Bank, a publicly traded commercial bank formerly headquartered in Lincoln, Nebraska, pleaded guilty today for his role in a scheme to defraud TierOne’s shareholders and regulators.
CFTC Staff Issues Exemptive Letter To Certain Registered Commodity Pool Operators Regarding Filing Form CPO-PQR

Date 09/09/2014

The U.S. Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued a letter recently providing exemptive relief regarding filing Commission Form CPO-PQR for those commodity pool operators (CPOs) that are registered, but have no reporting obligations under part 4 of the Commission’s regulations.
Autorité Des Marchés financiers Launches Penal Proceeding Targeting Market Manipulation Activities

Date 09/09/2014

Autorité des marchés financiers (“AMF”) has launched a joint penal proceeding against 13 defendants (11 individuals and 2 companies) allegedly involved in market manipulation activities that took place between 2008 and 2012 in violation of the Securities Act.
CFTC Orders Zulutrade Inc. To Pay $150,000 Penalty And Disgorge Profits Of $80,000 To Settle Charges Of Failure To Supervise Activities Relating To Its Business As A CFTC Registrant - Zulutrade Is A CFTC-Registered Introducing Broker Located In Piraeus, Greece

Date 09/09/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Zulutrade, Inc., a CFTC-registered Introducing Broker located in Piraeus, Greece, for failure to diligently supervise activities relating to its business as a CFTC registrant. Specifically, the CFTC’s Order found that for at least a three-year period from October 2010 to October 2013, Zulutrade failed to follow its procedures for screening for accountholders from the U.S. Department of the Treasury’s Office of Foreign Assets Control’s (OFAC) targeted countries. The Order requires Zulutrade to pay a $150,000 civil monetary penalty and disgorge $80,000 in commissions and fees it earned from accounts that were related to the supervisory failure.
ISDA Insight Survey: Derivatives Vital To End-Users, But Fragmentation A Concern

Date 09/09/2014

Over-the-counter (OTC) derivatives continue to be an integral part of end-user risk management strategies, according to a survey published today by the International Swaps and Derivatives Association, Inc. (ISDA) at its 2014 ISDA Annual North America Conference in New York.