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Date 17/10/2013
CFTC’s Division Of Market Oversight Provides No-Action Relief To Applicant Seeking Temporary Registration As A Swap Execution Facility - Time-Limited No Action Relief Provided To LatAm SEF, LLC Pending Consideration Of Application
The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) today announced the issuance of a no-action letter providing time-limited relief for LatAm SEF, LLC (LatAm). DMO will not recommend that the CFTC take enforcement action against LatAm for failure to register as a swap execution facility (SEF) under Section 5h(a)(1) of the Commodity Exchange Act (Act) or CFTC Regulation 37.3(a)(1), or against any market participants for use of, or other relationships with, LatAm, based on LatAm’s failure to register as a SEF.
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Date 17/10/2013
Keynote Address By CFTC Commissioner Scott D. O'Malia, Edison Electric Institute CFTC Compliance Forum, Washington, DC
The topic of today's conference is "Compliance and Implementation Issues." I must say such a topic gives us plenty of room to have a wide-ranging discussion, as there are so many questions and concerns regarding industry compliance and on-going implementation.
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Date 17/10/2013
Program Trading Averaged 25.6 Percent Of NYSE Volume During Oct. 7-11
The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms’ executed volume from NYSE’s orders database. The report includes trading on the NYSE for Oct. 7-11.
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Date 17/10/2013
CFTC Announcement Concerning Commitments Of Trader And Cotton On Call Reports
The U.S. Commodity Futures Trading Commission’s (CFTC) announced today that the Commitments of Traders and Cotton on Call reports previously scheduled for release on October 17th and October 18th respectively, will not be published this week. The CFTC is performing the work necessary to resume publishing these and other reports and will announce a revised schedule once more information becomes available.
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Date 17/10/2013
Laying Myths To Rest: Speech By Martin Wheatley, Chief Executive Of The FCA, At The British Bankers’ Association Annual International Conference, London
Good regulation will be one of the most important drivers of long-term growth and prosperity.
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Date 17/10/2013
European Parliament Television Video Analysis On The Effects Of FTT
The European Parliament Television publishes a video on FTT featuring MEP Anni Podimata and FESE Director General Judith Hardt among others.
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Date 17/10/2013
MarketAxess Appoints Jane Chwick To Board Of Directors
MarketAxess Holdings Inc. (Nasdaq: MKTX) the operator of a leading electronic trading platform for fixed-income securities, and the provider of market data and post-trade services for the global fixed-income markets, has confirmed the appointment of Jane Chwick to its Board of Directors.
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Date 17/10/2013
SEC Halts Pyramid Scheme Targeting Asian-American Community
The Securities and Exchange Commission today announced charges and asset freezes against the operators and promoters of a worldwide pyramid scheme that falsely promises exponential, risk-free returns to investors in a venture that purportedly sells Internet-based children’s educational courses.
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Date 17/10/2013
Preview: UK's Financial Conduct Authority’s Chief Executive Martin Wheatley's Speech To The BBA Conference
In a speech at the British Bankers’ Association today, the Financial Conduct Authority’s chief executive Martin Wheatley will discuss the link between incentives and mis-selling scandals, which have beset the industry. He noted that there are signs of improvement, with a number major banks moving away from a formulaic ‘sales equals reward’ approach, and also outlined the future direction the FCA’s work on incentives. Martin will be speaking at conference at 3.30.
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Date 17/10/2013
FISD Presents Lifetime Achievement Award To Market Data Industry Leader Tom Jordan - President & CEO Of Jordan & Jordan Receives Award At World Financial Information Conference In Lisbon
The Financial Information Services Division (FISD) of the Software & Information Industry Association (SIIA) today announced that Tom Jordan, President and CEO of Jordan & Jordan, is the recipient of the fifth Market Data Lifetime Achievement Award. The honor recognizes leaders who have advanced the financial information industry over the past 25 years. Jordan was honored during the biennial World Financial Information Conference (WFIC) in Lisbon in early October.
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