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CFTC Settles Charges Against Virginia Resident Alexander Giap For Engaging In Two Fraudulent Commodity Futures Trading Schemes - Federal Court In Virginia Orders Giap To Pay Over $700,000 In Restitution And Penalties And Permanently Bars Him From The Commodities Industry

Date 19/12/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court order requiring defendant Alexander Giap of Falls Church, Va., to pay $456,743 in restitution to defrauded customers and a $250,000 civil monetary penalty for violating the anti-fraud provisions of the Commodity Exchange Act (CEA) (see CFTC Press Release 6191-12, February 27, 2012, as a Related Link). The consent order of permanent injunction, entered on December 17, 2012, by the Honorable Claude M. Hilton of the U.S. District Court for the Eastern District of Virginia, also imposes permanent trading and registration bans against Giap and prohibits him from violating the CEA, as charged.
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues Time-Limited No-Action Relief Regarding The Treatment Of Swap Transactions By Persons Engaging In Floor Trader Activities, For Purposes Of Making Calculations Under The Swap Dealer Definition

Date 19/12/2012

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a time-limited no-action letter that provides relief for persons engaging in floor trader activities.
CFTC’s Division Of Market Oversight Issues Time-Limited, No-Action Relief For Swap Dealers And Major Swap Participants From The Reporting Provisions Of Part 45 For CDS Clearing-Related Swaps

Date 19/12/2012

The Commodity Futures Trading Commission’s (“Commission”) Division of Market Oversight (“Division”) today issued a no-action letter providing time-limited relief to Swap Dealers (“SDs”) and Major Swap Participants (“MSPs”) from the obligation to report swap data under part 45 of the Commission’s regulations for cleared credit default swaps (“CDS”) that are entered into pursuant to a derivatives clearing organization’s (“DCO”) rules related to its price submission process for determining end-of-day settlement prices for cleared CDS (“CDS Clearing-Related Swaps”).
CME Group Mourns The Passing Of Those Lost In Newtown, CT With A Moment Of Silence

Date 19/12/2012

In remembrance of those lost in Newtown, Connecticut, CME Group will observe a moment of silence on its trading floors in Chicago and New York. In addition, electronic trading on CME Globex will observe a voluntary moment of silence for all CME, CBOT, NYMEX and COMEX products. The moment of silence will last for one minute.
ESMA Publishes Supervisory Briefings In The Area Of MiFID

Date 19/12/2012

ESMA has today published two briefings, on Suitability and Appropriateness and execution only.

TMX Group - Top 20 Largest Consolidated Short Position Report - December 15, 2012

Date 19/12/2012

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending December 15, 2012.
NYSE Euronext Is The Global Leader In IPO Proceeds Raised For Second Consecutive Year - Raised $36 Billion In Total Global Proceeds From 117 IPOs - Led The U.S. Market In Listing With 79 Transactions, 23 Technology IPOs And 16 Transfers - In Europe, Raised €2.7 Billion ($3.5 Billion) In Proceeds On 25 New Listings

Date 19/12/2012

NYSE Euronext (NYX), for the second consecutive year, raised more proceeds from Initial Public Offerings (IPOs) than any other global exchange group in 2012 with $36 billion in total global proceeds raised from 117 IPOs and listed the majority of U.S. technology IPOs. In the U.S., the New York Stock Exchange (NYSE) and NYSE MKT combined led the market with 79 IPOs and 16 transfers. In Europe, NYSE Euronext welcomed 25 new listings, with approximately €2.7 billion ($3.5 billion) in proceeds raised.
Statement Re: Press Speculation - London Stock Exchange Group And LCH.Clearnet Group

Date 19/12/2012

London Stock Exchange Group Plc ("LSEG") and LCH.Clearnet Group Limited ("LCH.Clearnet") note the recent press speculation in respect of the proposed transaction between the two companies.
ESMA Publishes An Updated Q&A On Prospectus

Date 19/12/2012

This new set of Q&A readopts CESR positions as ESMA positions or amends them to reflect ESMA positions. it also includes a new Q&A on “type of underlying”.
Warsaw Stock Exchange And Gazeta Giełdy Parkiet Sign Memorandum Of Understanding For The Capital Market

Date 19/12/2012
- On 19 December 2012, representatives of the WSE and GG Parkiet signed a letter of intent concerning co-operation in support of the Polish capital market
- The main goals of co-operation are to enhance the quality of knowledge of capital market participants and improve their access to information