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Federal Court In Connecticut Orders Feisal Sharif To Pay Over $3 Million To Settle Fraud Charges In CFTC Action - In A Related Criminal Action, Sharif Pled Guilty To Criminal Violations Of The Commodity Exchange Act

Date 26/11/2013

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court Order against defendant Feisal Sharif of Branford, Connecticut, requiring him to pay restitution of $2,230,000 to defrauded customers and a $900,000 civil monetary penalty, as well as permanent trading and registration bans against Sharif for violations of the Commodity Exchange Act (CEA).
SEC Charges Weatherford International With FCPA Violations

Date 26/11/2013

The Securities and Exchange Commission today charged oilfield services company Weatherford International with violating the Foreign Corrupt Practices Act (FCPA) by authorizing bribes and improper travel and entertainment for foreign officials in the Middle East and Africa to win business, including kickbacks in Iraq to obtain United Nations Oil-for-Food contracts.
Aquis Exchange Launches Successfully - Subscription Pricing Introduced, UK, French And Dutch Stocks Traded

Date 26/11/2013

Aquis Exchange, the pan-European equities trading exchange, today successfully completed its first day of live operations, executing trades in all three of the markets available at launch.
CME Group Announces Sale Of NYMEX Building To Brookfield Office Properties

Date 26/11/2013

CME Group, the world's leading and most diverse derivatives marketplace, today announced the sale of the NYMEX Building located at One North End Avenue to Brookfield Office Properties.
Mincon Commences Trading On The Irish Stock Exchange Raising €50m

Date 26/11/2013

The Irish Stock Exchange (“ISE”) welcomes Mincon Group (Mincon) to the Enterprise Securities Market (“ESM”).

CBOE To List Options On CBOE Russell 2000 Volatility Index Beginning December 3 - New Product Offers Volatility Trading On Premier Measure Of Small-Cap U.S. Stocks

Date 26/11/2013

Chicago Board Options Exchange, Incorporated® (CBOE ) today announced that it will list options on the CBOE Russell 2000®Volatility Index (ticker: RVX) beginning Tuesday, December 3.
REGIS-TR Signs KBC Bank As A Pan-European Universal Bank

Date 26/11/2013
REGIS-TR to provide full trade repository services to KBC Bank
Technical capability to serve entire range of KBC Bank’s entities and derivative types
Participants to REGIS-TR’s test environment increase to 600

SEC Announces Fraud Charges Against Detroit-Based Money Market Fund Manager

Date 26/11/2013

The Securities and Exchange Commission today announced fraud charges against a Detroit-based investment advisory firm and a portfolio manager for deceiving the trustees of a money market fund and failing to comply with rules that limit risk in a money market fund’s portfolio.
New MAB Segment For SOCIMIS -Spanish REITs - Begins

Date 26/11/2013
- MAB will list its first SOCIMI, Entrecampos Cuatro Socimi, S.A., on Thursday, 28 November
- The second, Promorent Socimi, S.A., will be listed during the first week of December
SEC Announces Charges Against Two Houston-Based Firms For Engaging In Thousands Of Undisclosed Principal Transactions

Date 26/11/2013

The Securities and Exchange Commission today announced charges against two Houston-based investment advisory firms and three executives for engineering thousands of principal transactions through their affiliated brokerage firm without informing their clients.