News Centre

SEC Announces Cases Targeting International Pyramid Scheme Operators

Date 26/09/2014

The Securities and Exchange Commission today announced charges against the operators of an international pyramid scheme that raised more than $129 million from investors worldwide, primarily in the U.S., China, and Taiwan.  The case follows another against a separate pyramid scheme that lured investors in the U.S., China, and Korea with seminars, webinars, and YouTube videos.

PIMCO CIO William H. Gross To Leave The Firm

Date 26/09/2014

• Chief Investment Officer William H. Gross resigns and will depart the firm immediately
• Firm’s Management Board will confirm shortly the election of a new Chief Investment Officer
• Douglas Hodge and Jay Jacobs continue in their roles as Chief Executive Officer and President

CBOE Holdings Announces Date Of Third-Quarter 2014 Earnings Release And Conference Call

Date 26/09/2014

CBOE Holdings, Inc. (NASDAQ: CBOE) will announce financial results for the third quarter of 2014 before the market opens on Friday, October 31, 2014. A conference call with remarks by CBOE Holdings, Inc. senior management will begin at 7:30 a.m. Central Time (CT).

UK Financial Conduct Authority - CP14/21: Feedback And Policy Statement On CP14/02, Consultation On Joint Sponsors And Call For Views On Sponsor Conflicts

Date 26/09/2014

This document sets out our feedback and final rules in response to CP14/02: ‘Proposed amendments to the Listing Rules in relation to sponsor competence and other amendments to the Listing Rules and Prospectus Rules.’

William H. Gross Joins Janus Capital

Date 26/09/2014

Janus Capital Group Inc. (NYSE: JNS) today announced that William H. Gross, world- renowned fixed income investor, will be joining Janus Capital Group.  He will manage a recently launched Janus Global Unconstrained Bond Fund and related strategies, and will join Myron Scholes, Ph.D. and other members of the Janus team focused on global asset allocation.  Mr. Gross’ employment will be effective September 29, 2014 and he will begin managing the Janus Global Unconstrained Bond Fund and related strategies effective October 6, 2014.

ESMA Consults On Prospectuses Related Issues

Date 26/09/2014

The European Securities and Markets Authority (ESMA) has launched a consultation on draft Regulatory Technical Standards (RTS) on prospectus related issues under the Omnibus II Directive. 

Third New Participant Joins Swiss Exchange - With Finovesta GmbH, SIX Swiss Exchange Welcomes Another New Trading Participant

Date 26/09/2014

Today, SIX Swiss Exchange and SIX Structured Products Exchange Ltd welcome their third new trading participant joining in 2014. Finovesta GmbH is an independent financial company founded in 1987 and based in Dusseldorf (Germany). Its business model is based on electronic trading in all asset classes. The company is active in classic proprietary trading, executing orders only on its own behalf.

Japan's Financial Services Agency: Publication Of Highlights Of The Financial Monitoring Policy For 2014-2015

Date 26/09/2014

The FSA published Highlights of the Financial Monitoring Policy for 2014-2015, regarding its oversight of financial institutions. The policy includes measures regarding on-site and off-site monitoring process, as well as focus of financial monitoring.

Hong Kong's Securities And Futures Commission: Court Convicts Unlicensed Investment Portfolio Manager

Date 26/09/2014

The Eastern Magistrates’ Court convicted Mr Tam Kwok Pui of providing asset management service without obtaining a licence from the Securities and Futures Commission (SFC) (Note 1).

Bursa Malaysia Securities Reprimands, Fines And Orders To Strike Off Darul Bin Abdullah For Misconducts/Violation Of Rules

Date 26/09/2014

Bursa Malaysia Securities Berhad (635998-W) (Bursa Malaysia Securities) has publicly reprimanded, imposed a fine of RM20,000 and ordered to strike off Darul bin Abdullah (Darul) for misconducts/breaches relating to account opening, unauthorised trades and misapplication of client’s monies.