FTSE Mondo Visione Exchanges Index:
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Date 18/12/2012
SEC Revokes Registration Of Toronto-Based Broker And Bans Two Executives From U.S. Securities Industry For Allowing Layering
The Securities and Exchange Commission today charged a Toronto-based brokerage firm and its top two executives for failing to supervise overseas day traders who used the firm’s order management system to engage repeatedly in a manipulative trading practice known as layering.
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Date 18/12/2012
Corporate Board Member And Equilar To Host Educational Forum For Compensation Committee Members Public Company Directors To Convene On Pressing Compensation Issues For 2013
Corporate Board Member, an NYSE Euronext Company, and Equilar Inc. are joining together to provide a first-in-class conference focusing on the most pressing compensation issues facing today's public companies. The Compensation Committee Boot Camp will be held January 24-25 in Miami, Florida.
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Date 18/12/2012
BM&FBOVESPA: Fifty More Companies Publish Sustainability Reports, Or Explain Why Not - Exchange's Report Or Explain Initiative Eases Investors' Access To Information About Listed Companies' Business And Sustainability
The percentage of companies listed on BM&FBOVESPA and adhering to Report or Explain rose from 45.31% in May to 57.95% in October 2012. In all, 253 companies have already published information in their Reference Form about social, environmental and corporate governance dimensions, or they have explained why they do not yet do so. This is according to an extra update of the data executed by BM&FBOVESPA. In May the number was 203.
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Date 18/12/2012
FOW Names NYSE Liffe U.S. DTCC GCF Repo Index® Futures As ‘Interest Rate Contract Of The Year’ - Noting GCF Is ‘Seen As A More Accurate Reflection Of Funding Costs’ And‘Better Hedge Against Real Exposures’- New All-Time Record Volume Of 8,615 Contracts Traded On Dec. 17
NYSE Liffe U.S., the innovative U.S. futures exchange of NYSE Euronext (NYX) is proud to announce that its new futures contracts based on the DTCC GCF Repo Index® were named ‘New Contract of the Year’ in Interest Rates by Futures and Options Week (FOW) Magazine at the 2012 FOW International Awards in London. Additionally, GCF Repo Index futures traded a new record of more than 8,600 contracts with open interest approaching 52,000 on Monday, Dec. 17.
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Date 18/12/2012
SEC Charges Financial Media Company And Executives Involved In Accounting Fraud
The Securities and Exchange Commission today charged a digital financial media company and three executives for their roles in an accounting fraud that artificially inflated company revenues and misstated operating income to investors.
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Date 18/12/2012
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Letter On The Obligation Of Swap Dealers And Major Swap Participants To Provide The Pre-Trade Mid-Market Mark For Certain Credit Default Swaps And Interest Rate Swaps
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter that provides swap dealers and major swap participants with relief from the requirement to disclose the pre-trade mid-market mark to counterparties in certain credit default swaps and interest rate swaps that are identified in the no-action letter (Covered Derivative Transactions).
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Date 18/12/2012
Irish Stock Exchange Statistics November 2012
Please click here for the November 2012 ISE monthly statistical report.
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Date 18/12/2012
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues Time-Limited No-Action Relief Regarding The Treatment Of Swap Transactions On Natural Gas Exchange For Purposes Of Making Calculations Under The Swap Dealer Definition
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a time-limited no-action letter that provides relief for swaps transacted on Natural Gas Exchange (NGX), with respect to the treatment of such swaps in the calculation of a person’s aggregate gross notional amount of swap dealing activity.
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Date 18/12/2012
Irish Stock Exchange Statistics Q3 2012
Please note the Irish Stock Exchange (ISE) has published revised summary data on its website regarding trading in Irish Government securities for 2011 and 2012. Please find attached a link to the September 2012 quarterly statistical report.
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Date 18/12/2012
“Enforcement Priorities In The Alternative Space” By Bruce Karpati, Chief, SEC Enforcement Division's Asset Management Unit, Before The Regulatory Compliance Association, New York, N.Y.
Thank you to the Regulatory Compliance Association for having me here today. I am grateful for the opportunity to speak about current hedge fund enforcement priorities. Let me start by saying that my comments here today are mine and mine alone, and do not represent the views of the SEC, the Commissioners, or the staff.
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