News Centre

NZX 2Q13 Regulation Metrics

Date 26/07/2013

Please find attached second quarter 2013 Regulation Metrics

Canadian Securities Regulators Enter Into Supervisory Cooperation Arrangements With EU And EEA Financial Regulators

Date 25/07/2013

The Ontario Securities Commission (OSC), Autorité des marchés financiers (AMF), Alberta Securities Commission (ASC) and British Columbia Securities Commission (BCSC) today announced they have entered into supervisory Memorandums of Understanding (MOUs) with financial regulators of member states of the European Union (EU) and European Economic Area (EEA) regarding the supervision of alternative investment fund managers as required under the EU Alternative Investment Fund Managers Directive.

Manhattan U.S. Attorney And FBI Assistant Director In Charge Announce Insider Trading Charges Against Four SAC Capital Management Companies And SAC Portfolio Manager - SAC Management Companies Allegedly Engaged In Decade-Long Insider Trading Scheme On A Scale Without Known Precedent In Hedge Fund Industry - SAC Portfolio Manager Responsible For $1.25 Billion “Special Situations” Fund Has Pled Guilty To Insider Trading

Date 25/07/2013

Preet Bharara, the United States Attorney for the Southern District of New York, and George Venizelos, the Assistant Director in Charge of the New York Office of the Federal Bureau of Investigation (FBI), announced today the unsealing of insider trading charges against four companies—S.A.C. CAPITAL ADVISORS, L.P. (SAC Capital LP), S.A.C. CAPITAL ADVISORS, LLC (SAC Capital LLC), CR INTRINSIC INVESTORS, LLC (CR Intrinsic), and SIGMA CAPITAL MANAGEMENT, LLC (Sigma Capital); (collectively the SAC Companies). The SAC Companies are responsible for the management of a group of affiliated hedge funds (collectively the SAC Hedge Fund or SAC). Charges were also unsealed today against RICHARD LEE, a portfolio manager employed by SAC Capital LP, who focused on “special situations” like mergers and acquisitions, private equity buy-outs, and corporate restructurings in publicly traded companies across various industry sectors. LEE pled guilty on July 23, 2013, before U.S. District Judge Paul G. Gardephe, to conspiracy and securities fraud charges in connection with his work at SAC Capital LP.

Five Indicted in New Jersey for Largest Known Data Breach Conspiracy - Hackers Targeted Major Payment Processors, Retailers and Financial Institutions Around the World

Date 25/07/2013

A federal indictment made public today in New Jersey charges five men with conspiring in a worldwide hacking and data breach scheme that targeted major corporate networks, stole more than 160 million credit card numbers and resulted in hundreds of millions of dollars in losses.  It is the largest such scheme ever prosecuted in the United States.

SEC Charges Former Portfolio Manager At S.A.C. Capital With Insider Trading

Date 25/07/2013

The Securities and Exchange Commission today charged a former portfolio manager at S.A.C. Capital Advisors with insider trading ahead of major announcements by technology companies.

Program Trading Averaged 28.6 Percent Of NYSE Volume During July 15-19

Date 25/07/2013

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms’ executed volume from NYSE’s orders database. The report includes trading on the NYSE for July 15-19.

Manhattan U.S. Attorney - Charging & Supporting Documents: U.S. V. S.A.C. Capital Advisors, L.P., Et Al.

Date 25/07/2013

U.S. v. Richard Lee Information

U.S. v. SAC Capital Civil Forfeiture Complaint

U.S. v. SAC Indictment

Manhattan U.S. Attorney And FBI Assistant Director-In-Charge Announce Charges Against Russian National For Hacking Nasdaq Servers - Charges Also Brought In Connection With Computer Hacks Of U.S. Financial Institutions That Resulted In The Theft Of Millions Of Dollars From Over 800,000 Victim Bank Accounts

Date 25/07/2013

Preet Bharara, the United States Attorney for the Southern District of New York, and George Venizelos, the Assistant Director-in-Charge of the New York Office of the Federal Bureau of Investigation (“FBI”), announced today the unsealing of an indictment against a Russian hacker, ALEKSANDR KALININ, a/k/a “Grig,” a/k/a “g,” a/k/a “tempo,” for hacking certain computer servers used by the NASDAQ Stock Market (“NASDAQ”). In a separate indictment also unsealed today, KALININ and another Russian hacker, NIKOLAY NASENKOV, were charged with an international scheme to steal bank account information by hacking U.S.-based financial institutions and then using the stolen account information to withdraw millions of dollars from the victims’ bank accounts. KALININ has also been charged in a separate indictment unsealed in federal court in Newark, New Jersey. KALININ and NASENKOV remain at large.

Direct Edge Trading Notice #13-33: NBBO Offset Peg

Date 25/07/2013

The NBBO Offset PegSM is a new order type on the EDGA ExchangeSM (EDGA®) and EDGX ExchangeSM (EDGX®) designed to help Direct Edge Market Makers meet their minimum quoting obligations.  These orders fluctuate with the market and re-price as necessary while providing Members with full control over order origination and order marking. 

Deutsche Börse AG Publishes Results For Q2/2013 - Net Revenue Of €497.1 Million -Operating Costs Of €234.1 Million After Adjustments - Adjusted Earnings Per Share Of €0.97

Date 25/07/2013