FTSE Mondo Visione Exchanges Index:
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Date 30/11/2012
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action For Family Offices
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter regarding family offices. The letter states that DSIO will not recommend that the CFTC take enforcement action against the operators of family offices for failure to register as commodity pool operators under the Commodity Exchange Act and the CFTC’s regulations, subject to certain conditions described in the letter.
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Date 30/11/2012
ESMA Chair Maijoor Delivers Keynote At Audit Quality Symposium Toronto
Steven Maijoor, ESMA Chair, on November 29, 2012, delivered a keynote speech at the Audit Quality Symposium in Toronto, Canada. His full speech can be accessed here.
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Date 30/11/2012
The Dodd-Frank Holiday Season - CFTC Commissioner Scott D. O’Malia Before AICPA - SIFMA FMS Conference On The Securities Industry, New York, NY
Thank you for that kind introduction. As everyone is well aware, the holiday season is upon us. In addition to reconnecting with family and the social gatherings, the holiday's become synonymous with excess: over-eating, over-shopping and in the case of the Commission, over-regulating.
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Date 30/11/2012
Brazilian Ex-Banker To Pay $5.1 Million For Insider Trading In Burger King Stock
The Securities and Exchange Commission today announced insider trading charges against a Brazilian ex-banker for his role in a scheme to illegally trade Burger King securities. The SECpreviously charged a Brazilian citizen working in the Miami office of Wells Fargo with tipping him the inside information.
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Date 30/11/2012
Bond Market Liquidity Risk A Primary Concern For US Fixed-Income Markets, Says TABB - New Models And Products Emerge As Electronic Trading Grows And Single-Name CDS Declines
Colliding forces are reshaping the US fixed-income markets, according to TABB Group in new research, “US Fixed Income Trends: 2012 State of the Industry.” But bond market liquidity risk is seen as a primary concern, reports Henry Chien, a New York-based TABB research analyst who co-authored the report with contributing analyst Deepali Nigan.
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Date 30/11/2012
TOM MTF Statistics Week 48 - 2012
Click here to download the weekly statistics update of TOM MTF for week 48 - 2012.
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Date 30/11/2012
CME Group Issued The Following Statement Regarding Erroneous Wheat Registration Report
CME Group issued the following statement.
On Thursday, November 29, CME Group issued an erroneous Deliverable Commodities Under Registration Report shortly after 4 p.m., CST showing 164 wheat shipping certificates registered. That number did not include 2,000 registered wheat shipping certificates from the Andersons' Conant and Illinois Facilities. CME Group corrected the report on its Website at 5:46 p.m., CST. The company will assume responsibility for actual losses associated with this reporting error. CME Group will establish a claims process for customers and details will be posted to the Website as soon as possible. In the meantime, customers can contact CME Group Market Regulation at 312-435-3658 or 312-341-7757 with any questions.
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Date 30/11/2012
SEC Charges Connecticut-Based Business Executive With Insider Trading During Bidding Process
The Securities and Exchange Commission today charged a Connecticut-based business executive with insider trading ahead of the sale of Patriot Capital Funding Group based on nonpublic information he learned at the helm of a firm involved in the bidding process.
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Date 30/11/2012
Direct Edge Regulatory Notice #12-08: Enhanced Electronic Blue Sheet Submissions Update
Overview
This Regulatory Notice (the “Notice”) serves to inform Members of EDGA Exchange, Inc. (EDGA®) and EDGX Exchange, Inc. (EDGX®) (together, the “Exchanges”) that the Exchanges and certain members of the Intermarket Surveillance Group (collectively, the “ISG interested members”)1 have extended the effective date for firms to submit data elements for enhancing the Electronic Blue Sheets (EBS) to May 1, 2013 to allow broker-dealers additional time to implement the enhancements. -
Date 30/11/2012
BM&FBOVESPA Announces The Corporate Sustainability Index Portfolio For 2013 - Number Of Companies Authorizing The Publication Of Their Questionnaire Answers Rises From 8 To 14 Company Selection Process Now Includes KPMG Auditing And Assurance Combined Market Capitalization Rises From 42.70% To 44.81%
BM&FBOVESPA announced on November 29 the eighth portfolio of the Corporate Sustainability Index (ISE), effective from January 07, 2013 to January 03, 2014. The new portfolio is composed of 51 stocks of 37 companies. They represent 16 sectors and have a combined market capitalization of BRL 1.07 trillion, or 44.81% of the combined figure for all of the companies traded on BM&FBOVESPA (on November 26, 2011).
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