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Contango Markets Adds Derivatives Operations And IT Unit

Date 12/03/2013

Specialist derivatives consultancy, Contango Markets, is launching a new unit, 'Contango Operations', to help tackle many of the pre- and post-trade issues affecting market participants as the implementation phase resulting from years of discussion over regulatory change is set to hit the financial markets.
Changes To The UBS Board Of Directors - Reto Francioni To Be Nominated For Election To The UBS Board Of Directors At The Forthcoming Annual General Meeting. Wolfgang Mayrhuber Will Not Stand For Re-Election

Date 12/03/2013

The UBS Board of Directors announced today that it will nominate Reto Francioni for election to the Board at the Annual General Meeting of Shareholders on 2 May 2013. Wolfgang Mayrhuber has announced his decision not to stand for re-election to the Board of Directors at the firm's Annual General Meeting of Shareholders.
Moscow Exchange: Settlement Of Futures And Options In March 2013

Date 12/03/2013

On March 14, 2013 futures and options contracts will be settled through the unified settlement technology implemented on the Derivatives market FORTS and market sector Standard.
Taiwan Stock Exchange To Showcase Industry Champions At The Biggest Investment Conference For The Year

Date 12/03/2013

Taiwan Stock Exchange (TWSE), together with Bank of America Merrill Lynch, will once again host the “Taiwan, Technology and Beyond" Conference from 12-14 March 2013. Taiwan’s capital market is increasingly valued by international investment corporations. Representatives from Europe, United States, Singapore and Hong Kong institutions with assets under management (AUM) of more than US$39 trillion are expected to participate.
New Zealand's Financial Markets Authority: Home Detention For National Finance Director

Date 12/03/2013

National Finance director Anthony Banbrook has today been sentenced to eight and a half months' home detention and ordered to pay $75,000 in reparations in a prosecution taken by the Financial Markets Authority.

Hong Kong's Securities and Futures Commission Bans Calvin Ho Kei Him For 14 Months

Date 12/03/2013

The Securities and Futures Commission (SFC) has banned Mr Calvin Ho Kei Him, a former research associate at Morgan Stanley Asia Limited, from re-entering the industry for 14 months from 12 March 2013 to 11 May 2014.
Financial Industry Addresses Alleged Large Bank Subsidy

Date 11/03/2013

Today, the Financial Services Forum, the Financial Services Roundtable, The Clearing House, Securities Industry and Financial Markets Association, and the American Bankers Association, released the following policy brief in response to questionable assertions of a “taxpayer subsidy” to large banks.
CFTC: Federal Court In New York Orders Madison Dean, Inc. And Its Principal, George Athanasatos, To Pay Over $1.4 Million To Settle Forex Fraud Charges In CFTC Enforcement Action

Date 11/03/2013

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court Order against Defendants Madison Dean, Inc. (Madison Dean), of Wantagh, N.Y., and its principal, George Athanasatos, also of Wantagh, requiring them jointly to pay nearly $250,000 in restitution to defrauded customers. The Consent Order of Permanent Injunction, entered by Judge Joseph F. Bianco of the U.S. District Court for the Eastern District of New York, also imposes a $1 million civil monetary penalty on Madison Dean and a penalty of $210,000 on Athanasatos. The Order imposes permanent trading and registration bans against both defendants and prohibits them from violating the anti-fraud provisions of the Commodity Exchange Act, as charged.
SIFMA Announces New White Paper: “The Evolving Role Of Compliance”

Date 11/03/2013

SIFMA today announced the availability of a new white paper, “The Evolving Role of Compliance.” This white paper examines the responsibilities, opportunities and limitations of the Compliance function in the evolving financial industry and builds upon a 2005 white paper issued by SIFMA titled “The Role of Compliance.” “The Evolving Role of Compliance” is a collaborative effort between SIFMA, the SIFMA Compliance & Legal Society, and the SIFMA Compliance and Regulatory Policy Committee.
TSX Trading List Leaders By Volume And By Values - February 2013

Date 11/03/2013

The TSX Trading List Leaders list shows the top ten brokers chosen by their customers to execute their trades on Toronto Stock Exchange. The leaders are measured by volume and value of securities traded.