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Date 20/04/2012
New Zealand's Financial Markets Authority Welcomes Ruling On Hotchin Asset Preservation Orders
The Court of Appeal has dismissed an appeal by former Hanover director Mark Hotchin on asset preservation orders obtained by the Financial Markets Authority.
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Date 20/04/2012
Dalian Commodity Exchange Notice On Newly Listed Contracts
From April 19, 2012, the 1304 series contracts of coke, linear low density polyethylene, RBD palm oil and PVC can be traded.
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Date 20/04/2012
Federal Court Orders $14 Million In Fines And Disgorgement Stemming From CFTC Charges Against Optiver And Others For Manipulation Of NYMEX Crude Oil, Heating Oil, And Gasoline Futures Contracts And Making False Statements - Order Resolves Charges Against Defendants Optiver Holding BV, Two Subsidiaries – Optiver US, LLC And Optiver VOF, And Three Senior Officers, And Includes Trading Limitations
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained $14 million in civil monetary penalties and disgorgement pursuant to a federal court consent order against defendants Optiver Holding BV, a global proprietary trading company headquartered in the Netherlands, and two subsidiaries – Optiver US, LLC (Optiver), a Chicago-based corporation, and Optiver VOF, a Dutch company, as well as against then company officers who were responsible for the unlawful trading: Randal Meijer, Bastiaan van Kempen, and Christopher Dowson, the only individual defendant who remains employed by Optiver.
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Date 19/04/2012
Richard Balarkas To Leave Instinet Europe
Richard Balarkas, President and CEO, Instinet Europe, is stepping down after four years at the helm of the agency brokerage.
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Date 19/04/2012
Letter On Extraterritoriality To US Treasury Secretary Geithner And EU Commissioner For Internal Markets Barnier, From ISDA And Other Associations
Click here to download a letter on extraterritoriality to US Treasury Secretary Geithner and EU Commissioner for Internal Markets Barnier, from ISDA and other associations.
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Date 19/04/2012
SIFMA Statement On Guidance From Federal Reserve Regarding The Volcker Rule Conformance Period
SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., EVP, Public Policy and Advocacy at SIFMA, on the guidance released by the Federal Reserve regarding the Volcker Rule conformance period:
“The clarification of the Volcker Rule conformance period which was issued today is entirely appropriate and necessary. The industry has been concerned throughout this process over what was to be expected on July 21, 2012, and that concern was heightened as it appears likely that regulators may not be able to promulgate a final rule by that date. Today’s guidance that firms subject to Volcker will be able to use the full two year conformance period to come into compliance with the rule as provided for by the statute is critically important because it alleviates concerns over potentially having to comply with a rule whose details had not yet been made clear."
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Date 19/04/2012
Opening Statement For Title VII Intermediaries Release — April 18, 201 By SEC Commissioner Elisse B. Walter
Who? What? When? Where? Why? The 5 W’s have guided millions of writers — from grade school students penning their first essays to career journalists reporting major events. While I doubt anyone believes that the Federal Register makes for the same scintillating read as a page one news feature, I think that the 5 W’s can be a guide for us regulators as well, focusing our task on the questions we need to answer in our regulations and guidance. This is particularly true for regulations under Title VII of the Dodd-Frank Act, as we have been tasked with creating a regulatory regime where none previously existed — a blank page that we need to fill.
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Date 19/04/2012
Updated Newsletter of the Athens Exchange ETFs For The First Trimester Of 2012
Click here to download the first quarter 2012 ATHEX ETF newsletter.
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Date 19/04/2012
US. Agencies - Volcker Rule Conformance Period Clarified
The Federal Reserve Board on Thursday announced its approval of a statement clarifying that an entity covered by section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, or the so-called Volcker Rule, has the full two-year period provided by the statute to fully conform its activities and investments, unless the Board extends the conformance period. Section 619 generally requires banking entities to conform their activities and investments to the prohibitions and restrictions included in the statute on proprietary trading activities and on hedge fund and private equity fund activities and investments.
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Date 19/04/2012
SEC Names Diane C. Blizzard As Associate Director For Regulatory Policy And Investment Adviser Regulation
The Securities and Exchange Commission today announced that Diane C. Blizzard has been named Associate Director for Regulatory Policy and Investment Adviser Regulation in the Division of Investment Management. As Associate Director, Ms. Blizzard will supervise two offices that develop recommendations for rulemaking and other policy initiatives under the Investment Company Act and the Investment Advisers Act.
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