News Centre

CFTC Files Enforcement Action Against Arizona Resident For Issuing False Account Statements And Operating As An Unregistered Commodity Pool Operator

Date 12/06/2013

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a civil complaint against Thomas L. Hampton, an Arizona resident. The CFTC’s complaint charges Hampton with acting as an unregistered commodity pool operator (CPO) and issuing false account statements in violation of the Commodity Exchange Act.

SEC Announces More Charges In Massive Kickback Scheme To Secure Business Of Venezuelan Bank

Date 12/06/2013

The Securities and Exchange Commission today charged the former head of the Miami office at brokerage firm Direct Access Partners (DAP) for his role in a massive kickback scheme to secure the bond trading business of a state-owned Venezuelan bank.

FTSE RAFI Index Series Exceeds $5bn In ETF-Linked AUM

Date 12/06/2013

• Leading global alternative indices hit milestone AUM
• Index series breaks link between price and weight
• Successful 8 year partnership between FTSE and Research Affiliates

TSX And TSXV Trading List Leaders By Volume And By Value - May 2013

Date 12/06/2013

The Top 10 brokers chosen by their customers to execute their trades, measured by Volume and Value of securities traded. Compiled from data in the TMX Datalinx Attributed Trading Summary report. All figures as of month-end and do not include post trade-date corrections.

Hellenic Exchanges S.A. - 1st Repetitive General Meeting Of HELEX

Date 12/06/2013

HELLENIC EXCHANGES S.A. HOLDING, CLEARING, SETTLEMENT AND REGISTRY announces that on 11.06 the 1st Repetitive General Meeting of shareholders of the Company was held in the “HERMES” hall at the offices of the Company. Shareholders representing the 53.4% of the 65,368,563 total common registered shares participated. The General Meeting unanimously approved the reduction of the share capital of the Company by the amount of EUR1,961,056.89 through a reduction in the par value of each share by EUR0.03, and payment of this amount to shareholders, and a corresponding amendment of article 5 of the Articles of Association of the Company concerning the share capital. Furthermore, the General Meeting authorized the Board of Directors to set the ex-date for the right to the share capital return of the Company, the record date for determining the beneficiaries and the payment date for the share capital return. The Company will inform investors about the ex-date and the record date of the special dividend with a new announcement.

SEC, FINRA Warn Investors About Pump-And-Dump Stock Spam

Date 12/06/2013

The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today issued a warning to investors about a sharp increase in e-mail linked to "pump-and-dump" stock schemes.

DFM Welcomes UAE Market Upgrade To “Emerging Markets” Status By MSCI - Essa Kazim: DFM Played A Pivotal Role In Enhancing The UAE Market Infrastructure And The Upgrade Was Highly Anticipated As We Have Ticked All Requirements Long Time Ago

Date 12/06/2013

Dubai Financial Market (DFM) today welcomed the Morgan Stanley Capital International (MSCI) annual market classification review to upgrade the MSCI UAE Index to “Emerging Markets” status. Essa Kazim, Managing Director and CEO, Dubai Financial Market (PJSC) said: “This significant step evidently demonstrates international institutions’ recognition of DFM’s pivotal role over the last 3 years to further enhance the UAE market infrastructure in collaboration with the Securities and Commodities Authority of UAE (SCA). This development is overdue in light of the market infrastructure improvements made and ticking of all upgrade requirements long time ago”.

FESE European Equity Market Report – May 2013 Figures

Date 12/06/2013

The European Equity Market Report is a piece of analysis that allows for an accurate comparison of trading statistics across European trading venues.

Taking the Time To Get It Right: The Cross-Border Regulatory Framework - Keynote Address By Commissioner Scott D. O’Malia Before OpRisk Europe Conference, London, England

Date 12/06/2013

Thank you very much for the kind introduction and for inviting me to speak here today.

The headline title for this conference is “Beyond Regulation” and the program notes lead in with “in the face of massive regulatory change….” So I guess you don’t need me to tell you that we at the CFTC, as well as regulators here in Europe, have been pretty busy developing new regulations the past three years. These regulations have produced, among other things, a treasure trove of issues to discuss and debate.

ITG Launches ITG Algorithms Prism

Date 12/06/2013

ITG (NYSE: ITG), a leading execution and research broker, today announced the launch of ITG Algorithms® Prism, a powerful web-based tool offering clients comprehensive transparency into the behavior of ITG Algorithms.  Algo Prism provides up-to-the-second visibility into the activity of each algorithm, such as the predicted and realized schedules, fill details, and even the location, type and price of every open child order.