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CBOE, C2, CFE, and CBSX Trading Schedule For The Thanksgiving Holiday

Date 14/11/2012

CBOE Holdings, Inc. (NASDAQ: CBOE) announced the following trading schedule for Chicago Board Options Exchange (CBOE), CBOE Futures Exchange (CFE), C2 Options Exchange (C2) and CBOE Stock Exchange (CBSX) in observance of the Thanksgiving holiday:
New Zealand's Financial Markets Authority: Release Of PwC Report Into Ross Asset Management

Date 14/11/2012

The investigation into the affairs of David Ross of Ross Asset Management Ltd and related entities has moved forward today with the release of the receivers' report.
CFTC Issues Proposed Swaps Report For Public Comment - Proposed Report Seeks Public Input On Format, Structure, And Supporting Documentation

Date 14/11/2012

The Commodity Futures Trading Commission (CFTC) today issued, for public comment, a proposed CFTC Swaps Report that, when the proposal is finalized, will give the public a view into the previously dark swaps market.
US Agencies Issue Supplemental Statement On Supervisory Practices Regarding Financial Institutions And Borrowers Affected By Hurricane Sandy

Date 14/11/2012

The Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the National Credit Union Administration, and the Office of the Comptroller of the Currency (the agencies) recognize the continuing impact of Hurricane Sandy on the customers and operations of many financial institutions and encourage institutions to consider all reasonable and prudent steps to assist customers in communities affected by recent storms. Therefore, the agencies are issuing supplemental guidance to their October 30, 2012, statements about financial institutions and borrowers affected by Hurricane Sandy. A complete list of the affected disaster areas can be found at www.fema.gov.
“Regulatory Relativity” CFTC Commissioner Bart Chilton’s Keynote Address To The 7th Annual OTC Derivatives Operations & Processing Conference, New York, NY

Date 14/11/2012

Hello! It’s good to be with you today. Thank you for the kind invitation. Let’s do something unconventional, shall we? Let’s discuss financial regulatory reform with some scientific metaphors. Let’s talk regulatory relativity. Let’s talk Dodd-Frank—that is: the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.

Hong Kong's Securities And Futures Commission Disciplines And Fines CIC Investor Services $4 Million Over Handling Of Professional Investors And Documentation Of Advice

Date 14/11/2012

The Securities and Futures Commission (SFC) has reprimanded CIC Investor Services Limited (CIC) and fined it $4 million for its failures to comply with regulatory requirements in treating clients as professional investors and to keep adequate records of its investment advice to clients.
Remarks During News Briefing About SEC-DOJ FCPA Guide By Robert Khuzami Director Of The SEC’s Division Of Enforcement U.S. Securities And Exchange Commission

Date 14/11/2012

The most effective law enforcement programs are those that combine vigorous prosecution of those who break the law with an equally vigorous effort to enable those who seek to abide by the law.
CFTC’s Office Of General Counsel Responds To Questions Regarding Certain Physical Commercial Agreements For The Supply And Consumption Of Energy

Date 14/11/2012

Today, the Commodity Futures Trading Commission’s (CFTC) Office of General Counsel (OGC) is providing its view, in the form of an answer to frequently asked questions (FAQ), in response to questions from market participants and other interested parties regarding the classification of certain physical commercial agreements for the supply and consumption of energy that provide flexibility set forth in the CFTC’s joint Federal Register release with the Securities and Exchange Commission entitled Further Definition of “Swap”; “Security-Based Swap”; and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping (“Release”).
AFME/ISDA Submission Re. Bank Separation Rules

Date 14/11/2012

New requirements for European banks to ring-fence their significant market-makingactivities would increase funding costs for banks and restrict their ability to deliveraffordable financing and risk management services to European customers at a time whenEurope needs capital markets funding, according to a joint paper issued today by theAssociation for Financial Markets in Europe (AFME) and the International Securities andDerivatives Association (ISDA).
SEC's Enforcement Program Continues To Show Strong Results In Safeguarding Investors And Markets - Last Two Years Reflect Two Highest Numbers Of Total Actions Brought By SEC

Date 14/11/2012

Building on last year’s record results, the Securities and Exchange Commission today announced that it filed 734 enforcement actions in the fiscal year that ended Sept. 30, 2012, one shy of last year’s record of 735. Most significantly, that number included an increasing number of cases involving highly complex products, transactions, and practices, including those related to the financial crisis, trading platforms and market structure, and insider trading by market professionals. Twenty percent of the actions were filed in investigations designated as National Priority Cases, representing the Division’s most important and complex matters.