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CFTC Approves Final Regulations Governing Dual And Multiple Associations Of Associated Persons Of Swap Dealers And Major Swap Participants

Date 29/03/2013

The Commodity Futures Trading Commission (Commission) has approved final regulations governing dual and multiple associations of associated persons (APs) of swap dealers (SDs), major swap participants (MSPs) and other Commission registrants. The regulations make clear that each SD, MSP and other Commission registrant with whom an AP is associated is required to supervise the AP and is jointly and severally responsible for the activities of the AP with respect to customers common to it and any other SD, MSP or other Commission registrant.
U.S. Treasury Secretary Lew To Travel To Europe For Meetings With Senior Government Officials, April 8-9, 2013

Date 29/03/2013

The U.S. Department of the Treasury today announced that Secretary Jacob J. Lew will travel to Europe April 8-9, 2013 for discussions with his counterparts on economic developments in Europe and policies to boost global growth and promote financial stability.
CFTC Charges North Carolina Resident James Harvey Mason With Commodity Pool Fraud - Federal Court Issues Emergency Order Freezing Assets And Protecting Books And Records Of Mason, The JHM Forex Only Pool, And Forex Trading At Home

Date 29/03/2013

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Graham Mullen of the U.S. District Court for the Western District of North Carolina entered an emergency Order freezing and preserving assets under the control of defendant James Harvey Mason of Graham, North Carolina, and relief defendants The JHM Forex Only Pool (JHM) and Forex Trading at Home (FTAH). The Order also prohibits Mason, JHM, and FTAH from destroying books and records, appoints a receiver to protect customer funds, and grants the CFTC immediate access to the records of the defendant and his agents.
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Relief For Certain Persons From Registration As An Introducing Broker Or Commodity Trading Advisor

Date 29/03/2013

The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission announced today in a letter that it is taking a no-action position which provides relief from the requirement to register as an introducing broker or a commodity trading advisor for certain affiliates of a swap counterparty and the affiliates’ employees, where the affiliates and their employees engage in certain activity on behalf of the swap counterparty and the swap counterparty has commenced application for registration as a swap dealer or has exceeded the de minimis amount of swap dealing activity under Commission Regulation 1.3(ggg)(4)(i). The letter makes available registration relief to certain persons who would not otherwise be eligible for the relief DSIO previously provided to Agent Affiliates under CFTC Letter No. 12-70 (December 31, 2012). The relief is subject to a number of conditions, including that the swap counterparty be registered as a swap dealer within a specific period of time and conditions similar to those specified in CFTC Letter No. 12-70.
SEC Charges Sigma Capital Portfolio Manager With Insider Trading

Date 29/03/2013

The Securities and Exchange Commission today charged Michael Steinberg, a portfolio manager at New York-based hedge fund advisory firm Sigma Capital Management, with trading on inside information ahead of quarterly earnings announcements by Dell and Nvidia Corporation.

Methods For Calculating Moscow Exchange Broad Market Indices, Second-Tier Indices And Sector Indices Adopted

Date 29/03/2013

Moscow Exchange has adopted calculation methodologies for its Broad Market Indices, Second-Tier Indices and sector indices.
WSE And Exchange Members Agree Modifications To The Trading Session Timetable

Date 29/03/2013

Meetings of the Exchange Management Board and representatives of the Council of Brokerage Houses and the Management Board of the Chamber of Brokerage Houses have been held on 27 and 28 March to agree modifications to the continuous trading timetable on the markets organised by the WSE. The parties have reached an agreement concerning the modified timetable.
Japan Exchange Group: Regarding News Reports - Tick Sizes

Date 29/03/2013

Today, there were some reports in the media on reducing the price increments of bids and offers (tick sizes).
Japan’s Financial Services Agency: Exchange Of Letters On Cooperation In The Area Of Audit Oversight With The AFM Of The Netherlands

Date 29/03/2013

Financial Services Agency (FSA) and Certified Public Accountants and Auditing Oversight Board (CPAAOB) signed a Letter on cooperation in the area of audit oversight(PDF:516KB) with the Netherlands Authority for the Financial Markets (AFM) on March 19, 2013 and exchanged the Letters with the AFM on March 26, 2013.
Tokyo Commodity Exchange: Revised Weight Percentage Of Nikkei-TOCOM Commodity Index

Date 29/03/2013

The Tokyo Commodity Exchange, Inc. (“TOCOM” or the “Exchange”) today announced revised weightings of the Nikkei-TOCOM Commodity Index components, effective June 3, 2013, as indicated below.