News Centre

SGX Welcomes Chiwayland International To Mainboard

Date 06/08/2014

Singapore Exchange (SGX) is pleased to welcome the listing of Chiwayland International Limited on Mainboard under the stock code “ACW”. 

Statement On The Matter Of John W. Lawton, SEC Commissioner Daniel M. Gallagher

Date 06/08/2014

Today, I am issuing my opinion in the Matter of John W. Lawton, SEC Administrative Proceeding File No. 3-14162, concurring in part and dissenting in part from the Commission’s majority opinion with respect to the bars from association with municipal advisors and nationally recognized statistical rating organizations (“NRSROs”).  While I concur with the judgment in this matter, I respectfully disagree with the majority’s retroactive application of such bars to conduct that predated their creation.

BM&FBOVESPA Publishes July Market Performance

Date 06/08/2014

NASDAQ OMX July 2014 Volumes

Date 05/08/2014

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today reported monthly volumes for July 2014, on its investor relations website. A data sheet showing the monthly volumes can be found at: http://ir.nasdaqomx.com/monthly-reporting/

FIA And FIA PTG Comment On Modernizing CFTC’s Surveillance

Date 05/08/2014

FIA and the FIA Principal Traders Group sent a letter to the Commodity Futures Trading Commission yesterday, urging the CFTC to leverage existing resources as it works to develop a 21st-century surveillance system.

OCC Bulletin: Regulatory Capital-Revisions To The Risk-Based Capital Definition Of Eligible Guarantee For Advanced Approaches Banks: Final Rule

Date 05/08/2014

Summary

The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation have published a final rule that revises the advanced approaches1 risk-based capital rules by removing the requirement that only guarantees provided by certain counterparties are eligible for recognition as credit risk mitigants. Specifically, the final rule modifies the definition of “eligible guarantee” for purposes of the advanced approaches risk-based capital rules by removing the requirement that an eligible guarantee be provided by an “eligible guarantor” for all exposures other than securitization exposures. The rule was published in theFederal Register on July 30, 2014.

US Agencies Provide Feedback On Second Round Resolution Plans Of "First-Wave" Filers - Firms Required To Address Shortcomings In 2015 Submissions

Date 05/08/2014

The Board of Governors of the Federal Reserve System and the Board of Directors of the Federal Deposit Insurance Corporation announced the completion of reviews of the second round of resolution plans submitted by 11 large, complex banking organizations in 2013. The agencies have issued letters to each of these banking organizations.

SEC Charges Four Promoters With Manipulating Marijuana-Related Stocks And Other Microcap Companies

Date 05/08/2014

The Securities and Exchange Commission today charged four promoters with ties to the Pacific Northwest for manipulating the securities of several microcap companies, including marijuana-related stocks that the agency has warned investors about in recent weeks.

DTCC Announces Executive Appointments - Appointments Enhance Leadership Team As DTCC Continues Expanding Globally To Bring Greater Transparency And Risk Mitigation To OTC Derivatives Markets

Date 05/08/2014

The Depository Trust & Clearing Corporation (DTCC) today announced two executive management appointments in its Global Trade Repository business as the company continues to expand operations globally to bring greater transparency to the over-the-counter (OTC) derivatives market and to help financial firms meet new regulatory trade reporting mandates.

ISDA EMEA Credit Derivatives Determinations Committee: ABB International Finance Limited Bankruptcy Credit Event

Date 05/08/2014

The International Swaps and Derivatives Association, Inc. (ISDA) today announced that its EMEA Credit Derivatives Determinations Committee resolved that a bankruptcy credit event occurred in respect of ABB International Finance Limited.