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CFTC Announces Jonathan L. Marcus As General Counsel
Date 09/04/2013
Commodity Futures Trading Commission Chairman Gary Gensler today announced that Jonathan L. Marcus has been named the agency’s General Counsel. Mr. Marcus has served at the Commission for the past two years as the Deputy General Counsel for Litigation. In this role, Mr. Marcus represented the Commission in federal court and has been advising the Commission on a broad array of regulatory and legal matters.
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RiskAdvisory Is Ready To Support SDR Reporting For Commodity End Users’ Dodd-Frank Compliance
Date 09/04/2013
With the April 10 deadline looming for commodity swap market counterparties to obtain their Commodity Futures Trading Commission legal entity identifiers for Dodd-Frank compliance reporting, RiskAdvisory is announcing its preparation of SAS BookRunner v12 commodity trading and risk management (CTRM) connections to the swap data repositories (SDRs).
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CFTC Orders Florida-Based Forex Global Solutions Inc., Forex Global Solutions Ltd., Barry Sendach, And Joshua Kershner To Pay $750,000 For Foreign Currency (Forex) Fraud And Violating CFTC Registration Requirements
Date 09/04/2013
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Barry Sendach of Boca Raton, Fla., Joshua Kershner of Boynton Beach, Fla., and their Boca Raton-based companies, Forex Global Solutions Inc. and Forex Global Solutions Ltd.(together, Forex Global), for fraudulently soliciting customers to trade foreign currency (forex) and violating CFTC registration requirements. The Order requires Forex Global, Sendach, and Kershner, jointly and severally, to pay a $750,000 civil monetary penalty and imposes permanent trading and registration bans against them.
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SEC Announces Panelists For Roundtable On Fixed Income Markets
Date 09/04/2013
The Securities and Exchange Commission today announced the panelists who will participate in its April 16 roundtable on ways to improve the transparency and efficiency of the fixed income markets.
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Composition Of Tel Aviv Stock Exchange Corporate Bond Indices As Of April 17th, 2013
Date 09/04/2013
As of April 17th, 2013 the composition of the corporate bond indices will be updated.
For the Excel file regarding changes in indices constituents, click here.
For the PDF file regarding changes in indices constituents, click here.
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CFTC Orders Connecticut-based Interactive Brokers LLC, A Registered Futures Commission Merchant, To Pay A $225,000 Civil Monetary Penalty - Firm Failed To Supervise Its Employees, Failed To Maintain Sufficient U.S. Dollars In Customer Segregated Accounts, And Failed To Compute On A Currency-By-Currency Basis The Amount Of Customer Funds On Deposit And Required To Be On Deposit In Segregated Accounts
Date 09/04/2013
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order requiringInteractive Brokers LLC (IB) of Greenwich, Conn., to pay a $225,000 civil monetary penalty for failing to calculate the amount of customer funds on deposit, the amount of funds required to be on deposit in customer segregated accounts, failing to maintain sufficient U.S. dollars (USD) in customer segregated accounts in the United States to meet all USD-denominated obligations, and supervision failures. The CFTC’s Order also requires IB to cease and desist from violating CFTC Regulations, as charged.
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Changes To Warsaw Stock Exchange Management Board Approved
Date 09/04/2013
- On 9 April 2013, the Polish Financial Supervision Authority (KNF) has approved changes to the Management Board of the Warsaw Stock Exchange.
- The new WSE Management Board: Adam Maciejewski – President, Beata Jarosz – Vice President, Paweł Graniewski – Vice President, Mirosław Szczepański – Member of the Management Board.
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ADEX Monthly Statistical Bulletin - March 2013
Date 09/04/2013
Please click here to download ADEX monthly statistical bulletin for March 2013.
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The Options Industry Council Congratulates The Quinnipiac Global Asset Management Education Forum On A Successful Third Year
Date 09/04/2013
The Options Industry Council (OIC) today congratulated everyone involved in this year’s Quinnipiac Global Asset Management Education (G.A.M.E.) Forum for producing a very successful program. Having just completed its third year, the G.A.M.E. Forum brought together more than 1,000 students from 118 colleges and universities representing 33 countries, 44 states, Puerto Rico and the District of Columbia to explore the important issues facing investment professionals today.
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Remarks By Richard G. Ketchum, FINRA’s Chairman And Chief Executive Officer, At The National Compliance Outreach Program For Broker-Dealers
Date 09/04/2013
I'm honored to be with you today, particularly because the conversation we're having here about the role of compliance and effective controls is more important than ever. Our financial markets are changing quickly, and your commitment to continually assess risk, exposure and how your brokers interact with customers is key to ensuring investors are treated fairly. Events like this give us an opportunity to talk about how we can achieve our mutual goal of investor protection while ensuring that firms are able to provide innovative products that meet investor demand and generate revenue.
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