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SEC Obtains Settlements In Penny Stock “Shell Packaging” Case

Date 15/01/2014

The Securities and Exchange Commission today announced nearly $300,000 in settlements against a Virginia-based “shell packaging” company and its CEO who were charged with facilitating a penny stock scheme as well as a Bronx, N.Y.-based stock promoter who received proceeds from the fraud.
SIFMA Statement On TruPS CDOs Relief Under The Volcker Rule

Date 15/01/2014

SIFMA yesterday issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, on the approval by five federal agencies of an interim final rule to permit banking entities to retain interests in certain collateralized debt obligations backed primarily by trust preferred securities (TruPS CDOs) from the investment prohibitions of section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, known as the Volcker rule:
China Exchanges Services Company Wins A 2013 Best Of The Best Awards From Asia Asset Management

Date 15/01/2014

China Exchanges Services Company Limited (CESC), a joint venture formed and equally owned by Hong Kong Exchanges and Clearing Limited, the Shanghai Stock Exchange and the Shenzhen Stock Exchange, announced today that it has won the Best Newcomer award in the Regional category of Asia Asset Management magazine’s 2013 Best of the Best Awards.
FESE European Equity Market Report – December 2013 Figures – Now Available

Date 15/01/2014

The European Equity Market Report is a piece of analysis that allows for an accurate comparison of trading statistics across European trading venues.
FCA Board Appoints Three New Members To The Regulatory Decisions Committee

Date 15/01/2014

The Regulatory Decisions Committee (RDC) is responsible for taking decisions on whether to refuse or grant contested applications into the regulated community, and issuing warning and decision notices for certain enforcement cases on behalf of the FCA.

Former Licensee Convicted Of Providing Hong Kong's Securities And Futures Commission False Or Misleading Information

Date 15/01/2014

The Eastern Magistrates’ Court today convicted Mr Roger Tsui Chi Fung after he pleaded guilty to two counts of providing false or misleading information to the Securities and Futures Commission (SFC) when he was licensed by the SFC.
Three Arrested In UK Financial Conduct Authority Boiler Room Investigation

Date 15/01/2014

The Financial Conduct Authority (FCA), with the assistance of the City of London Police, yesterday morning executed search warrants at six addresses in Kent, Essex, and Bedfordshire.
European Power Exchange EPEX SPOT Prepares For Internal Energy Market - Steady Growth Of Trading Volumes – Extension Of Intraday Services To Switzerland – Price Coupling Of Regions Facilitates Implementation Of Day-Ahead Target Model

Date 15/01/2014

In the fifth year after its creation, trading volumes on the markets of the European Power Exchange EPEX SPOT continue to grow. In 2013, 346 TWh were traded on its Day-Ahead and Intraday power markets in Germany, France, Austria and Switzerland. That is the best result in EPEX SPOT’s existence and corresponds to an overall increase of 2% compared to 2012 (339 TWh), following 314 TWh in 2011 and 279 TWh in 2010.
Fidessa Appoints Global Head Of New Business Sales And Asia Pacific Sales Director - Emily Thomas And Phill Jeffrey Take Up New Roles For Fidessa’s Sell-Side Business

Date 15/01/2014

Fidessa group plc (LSE: FDSA) has today announced two new key sales appointments for its sell-side business. Emily Thomas will become Global Head of New Business Sales based in New York, and Phill Jeffrey will join the company as Asia Pacific Regional Sales Director based in Hong Kong.
Publication Of The Draft Of The “Principles For Responsible Institutional Investors” - «Japan’s Stewardship Code» - To Promote Sustainable Growth Of Companies Through Investment And Dialogue

Date 15/01/2014

The Council of Experts Concerning the Japanese Version of the Stewardship Code (Chairman: Hiroyuki Kansaku, Professor of Graduate Schools for Law and Politics/Faculty of Law, The University of Tokyo) has now published the draft of “Japan’s Stewardship Code” and started to call for public comments in English.