News Centre

FIA’s Eighth SEF Tracker Released - Trading Volumes Now Available From January Through September

Date 02/12/2014

FIA today published the eighth issue of FIA SEF Tracker, a periodic report on trading activity taking place on swap execution facilities.

SEC Charges California Resident With Fraudulent Sales Of Stock

Date 02/12/2014

The Securities and Exchange Commission today charged the owner of several now-defunct investment entities with fraudulently selling shares of stock that he claimed to own when he had actually purchased them for others a few years before.

Speech By Martin Wheatley, Chief Executive Of The UK Financial Conduct Authority, Delivered At The FCA’s Enforcement Conference, London.

Date 02/12/2014

The theme for this year’s event is culture and governance. A topic that’s not new of course, but has become increasingly significant. In fact, for leaders today, in business as well as in regulation and politics, there are few more pressing priorities than strong corporate culture. Nor, as we’ve seen post-foreign exchange (FX), more complex ones to deliver.

BOX Options Exchange Price Improvement Activity For November

Date 02/12/2014

In the month of November, price improved contractson BOX Options Exchange (“BOX”) averaged 210,140 per day, which represented a 45% increase over the same period last year. Price improvement versus the prevailing NBBO for contracts submitted via BOX’s price improvement auction, PIP, averaged $346,858 per day, while total savings to investors this month was $6.6M. With this, BOX has saved investors over $562M since its inception in 2004. Overall average daily trading volume on BOX in the month of November was 329,288 contracts, which represented a 5% decrease over the same period last year.

Speech By Tracey McDermott, Director Of Enforcement And Financial Crime At The UK Financial Conduct Authority (FCA), Delivered At The FCA’s Enforcement Conference, London

Date 02/12/2014

A lot of the interaction I have with firms is on a one-to-one basis in the context of the FCA’s investigations. Not always the best environment for a discussion about regulatory philosophy or how we improve culture and conduct across the industry more widely. So it is a pleasure to have you here in the more relaxed setting at the FCA's first enforcement conference to continue the conversation on how we regulate.

Economic Growth And Global Regulatory Initiatives Are Attracting Domestic And International Investors To Canadian Derivatives Markets - Open Interest In Options And Futures Expanding - Canada’s Conservative Fiscal Discipline, Financial Stability Attracting Fixed-Income Market Investors

Date 02/12/2014

Operating in the shadow of the US capital market, Canada’s derivatives markets are appealing to a broad range of domestic and international investors, with growing interest in using the country’s futures and options markets to generate income, make directional plays and manage risk exposures for fixed income and equity portfolios.

Irish Stock Exchange Monthly Market Statistics For November 2014

Date 02/12/2014

• November 2014 - overall market statistics (110 KB)
• November 2014 - monthly fund statistics  (153 KB)

TABB Research Examines Brazilian Electronic Trading Market’s New Wave Of Buy-Side Firms Leveraging Global Third-Party Vendors - Use Of Algorithms Rising - Introduction Of TCA, New DMA Methodologies Aiding Investors In Trading Leaner, Faster, Smarter than Competitors

Date 02/12/2014

Brazil is facing a decision in how it approaches the future of its capital markets, says TABB Group in new research, specifically the uncertainty of its market structure. But according to TABB, there is good news, in that its improved financial infrastructure is bringing lower latency and more efficient throughput to the local electronic marketplace, where the $5,000 cost of connectivity per buy-side trading desk can be ten times higher than in the US.

Federal Reserve Governor Lael Brainard, At the Economic Growth And Regulatory Paperwork Reduction Act Outreach Meeting, Los Angeles, California, December 2, 2014, Opening Remarks

Date 02/12/2014

On behalf of the Federal Reserve System, I am pleased to be here at the first in a series of outreach meetings designed to hear your feedback and concerns about regulatory burden. I want to thank you all for taking the time to participate in this important dialogue and also extend my thanks to the Federal Reserve Bank of San Francisco for providing space for today's meeting at the Los Angeles Branch.

TMX Group Consolidated Trading Statistics November 2014: Toronto Stock Exchange, TSX Venture Exchange, TMX Select, Alpha, Montreal Exchange, NGX

Date 02/12/2014

TMX Group Limited today announced November 2014 trading statistics for its marketplaces - Toronto Stock Exchange, TSX Venture Exchange, TMX Select, Alpha, Montreal Exchange (MX) and NGX.