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Statement By SEC Chair Mary Jo White At The SEC Open Meeting, Washington, D.C.

Date 18/09/2013

Good morning. This is an open meeting of the U.S. Securities and Exchange Commission on September 18, 2013, under the Government in the Sunshine Act.
IOSCO And IFRS Foundation Agree Joint Protocols To Enhance Consistency In The Implementation Of IFRS Globally

Date 18/09/2013

The International Organization of Securities Commissions (IOSCO) and the IFRS Foundation today announced that they have agreed on a set of protocols under which the two organisations will deepen their cooperation in support of their shared commitment to the highest standards of financial reporting globally.
Statement By SEC Commissioner Michael S. Piwowar At Open Meeting Regarding Municipal Advisors And Pay Ratio Disclosure

Date 18/09/2013

Thank you, Chair White.
IOSCO Reinforces Standard On Cross-Border Cooperation

Date 18/09/2013

The International Organization of Securities Commissions (IOSCO) today adopted measures to encourage non-signatory members to sign the IOSCO Multilateral Memorandum of Understanding on cooperation and exchange of information. Established in 2002, the MMoU is the instrument used by securities regulators around the world to fight the cross-border financial services misconduct that can weaken global markets and undermine investor confidence.
SEC Charges N.Y.-Based Hedge Fund Adviser With Breaching Fiduciary Duty By Participating In Conflicted Principal Transaction

Date 18/09/2013

The Securities and Exchange Commission today charged the adviser to a New York-based hedge fund with breaching his fiduciary duty by engineering an undisclosed principal transaction in which he had a financial conflict of interest.

New Measures To Restore Confidence In Benchmarks Following LIBOR And EURIBOR Scandals

Date 18/09/2013

The Commission has today proposed draft legislation to help restore confidence in the integrity of benchmarks. A benchmark is an index (statistical measure), calculated from a representative set of underlying data, that is used as a reference price for a financial instrument or financial contract or to measure the performance of an investment fund. The new rules will enhance the robustness and reliability of benchmarks, facilitate the prevention and detection of their manipulation and clarify responsibility for and the supervision of benchmarks by the authorities. They complement the Commission’s proposals, agreed by the European Parliament and Council in June 2013, to make the manipulation of benchmarks a market abuse offence subject to strict administrative fines (see MEMO/13/774).

IOSCO Confirmed As The Key Global Reference Point For Securities Regulation

Date 18/09/2013

Members of the International Organization of Securities Commissions (IOSCO) met during its Annual Conference this week to discuss how to advance work on global regulatory reform and the identification of emerging risks in securities market.
CME Group Files An Application To Be Registered As A Swap Execution Facility

Date 18/09/2013

CME Group, the world's leading and most diverse derivatives marketplace, announced today that it has filed an application to be registered as a Swap Execution Facility (SEF) with the Commodity Futures Trading Commission (CFTC). CME Group's SEF will be available over CME Direct, a sophisticated online front-end trade management platform for accessing CME Group's deeply liquid exchange listed and OTC energy and metals markets.
NYSE Technologies And First Derivatives Collaborate On New Suite Of ‘As A Service’ Trading Solutions - Combines Leading Data And Archiving Platforms To Create A Diverse Range Of New On-Demand Services - Launching Tick As A Service In October 2013

Date 18/09/2013

NYSE Technologies, the commercial technology division of NYSE Euronext (NYX) today announced that it will be working with First Derivatives, a leading provider of software and consulting services to the capital markets industry, to create a new suite of historical data ‘as a service’ solutions. Combining NYSE Technologies’ historical and real-time data expertise covering cash, options, futures and corporate actions with First Derivatives’ products and market expertise, the Tick as a Service offering will build into a suite of innovative market services for clients to gain efficient access to large data stores for analytical back testing and compliance.
Taiwan Stock Exchange Welcomes Measures To Stimulate Trading Activity

Date 18/09/2013

Taiwan Stock Exchange (TWSE) welcomes recently announced measures by the Financial Supervisory Commission (FSC) to stimulate trading activity.