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CFTC Orders The Linn Group, Inc., A Registered Futures Commission Merchant, To Pay $400,000 Civil Monetary Penalty For Customer Account Deficiencies And Supervision Failures - Firm Failed To Diligently Supervise Its Officers, Employees, And Agents And To Properly Handle, Monitor And Report Customer Funds

Date 18/04/2013

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it entered an Order requiring The Linn Group, Inc. (TLG), a Chicago-based Futures Commission Merchant (FCM), to pay a $400,000 civil monetary penalty for failing to properly handle, monitor, and report the customer funds that it maintained, as required by the Commodity Exchange Act (CEA) and CFTC Regulations, and for supervision failures. The CFTC Order also requires TLG to retain a consultant to review and improve TLG’s procedures as necessary to comply with the CEA and Regulations and to cease and desist from violating the provisions of the CEA and Regulations, as charged.
SEC Charges Chicago-Based Investment Adviser With Defrauding CalPERS And Other Clients

Date 18/04/2013

The Securities and Exchange Commission today charged the CEO of Chicago-based investment advisory firm Simran Capital Management with lying to the California Public Employers' Retirement System (CalPERS) and other current and potential clients about the amount of money managed by the firm.
Program Trading Averaged 25.1 Percent Of NYSE Volume During Apr. 8-12

Date 18/04/2013

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 Apr. 8-12.
Bank Supervision: Council Confirms Agreement With European Parliament

Date 18/04/2013

The Permanent Representatives Committee today approved a compromise agreed with the European Parliament on the establishment of a single supervisory mechanism (SSM) for the oversight of credit institutions.
Equinix Announces Significant Expansion To Increase Data Center Capacity In Singapore - Equinix Launches Third Data Center And Expands Second Facility To Meet Strong Market Demand For Premium Data Center Services In Singapore

Date 18/04/2013

Equinix, Inc. (Nasdaq: EQIX), the globalinterconnection and data center company, today announced its plans to expand the company’s footprint in Singapore and the Asia-Pacific region with development of a third International Business Exchange™ (IBX®) and expansion of its second data center. The expansion plan showcases Equinix’s success in addressing market demand from financial and cloud service providers and demonstrates the company’s ongoing commitment to the data center market in Singapore.

IOSCO Consults On Regulation Of Retail Structured Products

Date 18/04/2013

The International Organization of Securities Commissions (IOSCO) published today a consultation report on Regulation of Retail Structured Products, which analyses trends in the retail structured product market, and proposes a regulatory Toolkit for IOSCO members.
CME Group Announces New Physically Delivered 1,000 oz. Silver Futures Contract

Date 18/04/2013

CME Group, the world's leading and most diverse derivatives marketplace, today announced the launch of a new physically delivered Silver (1,000 oz.) futures contract, scheduled to begin trading in June 2013. This contract will be listed with, and subject to, the rules and regulations of COMEX.
Oslo Børs Emphasises The Nordic Dimension For The Bond Market

Date 18/04/2013

As part of its Nordic focus, Oslo Børs announces that Oslo ABM has changed its name to Nordic ABM. Nordic ABM targets fixed income issuers throughout the Nordic region, and a number of Nordic issuers have already listed bond issues on Nordic ABM. Since the Burgundy markets will become part of the Oslo Børs offer in June, a new fixed income market will be added to the trading system which will allow trading in fixed income instruments intended for Swedish investors that are denominated in Swedish kronor.
UK’s Financial Conduct Authority Bans And Censures Managing Director Of SIPP Operator Montpelier Pension Administration Services Limited

Date 18/04/2013

The Financial Conduct Authority (FCA) has banned Kevin Wells, the managing director of Montpelier Pension Administration Services Limited (MPAS), from performing any significant influence function at any regulated firm, and also censured him.
Thomson Reuters Brings Enhanced Workflow Capabilities To Disclosures Reporting - Solution Reduces The Time And Effort Associated With SEC Filings

Date 18/04/2013

Thomson Reuters, the world’s leading source of intelligent information for businesses and professionals, today announced further strategic enhancements to its Accelus Disclosure Solutions PROFILE software, a next generation workflow solution that enables publicly-held organizations to more accurately prepare, update and deliver their financial disclosures to the U.S. Securities and Exchange Commission (SEC).