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Date 28/09/2011
SIFMA Statement On Revised Proposals For Market-Wide Circuit Breaker Rules
SIFMA today released the following statement from Randy Snook, executive vice president, after FINRA and the exchanges released new proposed rules outlining the operation of market-wide circuit breakers, which have been in development over the past year in response to the May 6, 2010 Flash Crash.
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Date 28/09/2011
BM&FBOVESPA - 1st Stage: Substitution Of GTS (Derivatives And Spot Foreign Exchange)
BM&FBOVESPA is in the process of implementing the PUMA Trading System new trading platform - developed by BM&FBOVESPA and CME Group.
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Date 28/09/2011
CFTC Announces Second Public Meeting Of The Technology Advisory Subcommittee On Data Standardization - Subcommittee Working Groups To Present Interim Findings Aimed At Creating Universally Acceptable Standards For Complex Financial Products
The Commodity Futures Trading Commission (CFTC) announces that on September 30, 2011, the Subcommittee on Data Standardization of the CFTC’s Technology Advisory Committee (the “Subcommittee”) will hold its second public meeting at the Commission’s headquarters in Washington, DC.
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Date 28/09/2011
SEC Charges Long Island-Based Hedge Fund Manager With Fraud Involving PIPE Transactions
The Securities and Exchange Commission today charged a Long Island-based investment adviser with defrauding investors in hedge funds investing in PIPE transactions and misappropriating more than $1 million in client assets for his personal use.
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Date 28/09/2011
CBOE Holdings, Inc. Announces Live Webcast of 2011 Investor Day Conference On October 5
CBOE Holdings, Inc. (NASDAQ: CBOE) today announced it will offer a live webcast of its 2011 Investor Day Conference on Wednesday, October 5, 2011, from 9:00 a.m. to 2:30 p.m. (Chicago time).
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Date 28/09/2011
SEC Charges Bay Area Investment Adviser For Defrauding Clients And Falsifying Documents During SEC Exam
The Securities and Exchange Commission today charged a San Francisco-area investment adviser with fraud for lying to clients about how brokerage commission rebates were being used and producing phony documents to cover up the fraud during an SEC examination.
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Date 28/09/2011
EU Commission Lacks "Moral Authority" To Impose Financial Transaction Tax - UK Regulation Lawyer
Commenting on the proposed financial transaction tax, David Blair, regulation partner at UK law firm Osborne Clarke, said:
"Given the lack of transparency surrounding EU budgets, it seems questionable whether the EU Commission is an appropriate body to be redistributing wealth to European tax payers."
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Date 28/09/2011
Woodbine Associates Produces Study On OTC Derivatives For The Institute For Financial Markets - Report Details New Hedging And Transaction Costs That Derivative Traders And End Users Will Face From The Dodd-Frank Act And Basel III
Woodbine Associates, Inc. (http://www.woodbineassociates.com) has just completed a study for the Institute for Financial Markets that evaluates the impact of Dodd-Frank and Basel III on OTC derivative transactions and proposes cost minimizing strategies for end users.
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Date 28/09/2011
ESMA Continues To Coordinate Action On Short Positions In Countries Where Bans Are Currently In Place
Acting in close cooperation, following evaluation and discussions conducted under the coordination of ESMA, those European regulators whose measures on short positions were meant to expire on 30 September have published today statements setting out details of their decision to renew the temporary ban.
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Date 28/09/2011
Autorité Des Marchés Financiers 2010 Report On Rating Agencies
Click here to download the AMF 2010 report on rating agencies.
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