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SEC Announces Fraud Charges Against Collateral Manager Of CDO

Date 18/10/2013

The Securities and Exchange Commission today announced charges against a Morristown, N.J.-based investment advisory firm and its owner for misleading investors in a collateralized debt obligation (CDO) and breaching their fiduciary duties.
TSX Markets Top 20 Largest Consolidated Short Position Report - October 15, 2013

Date 18/10/2013

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 October 15, 2013.
ESMA Publishes Signed AIFMD Cooperation Agreements

Date 18/10/2013

The European Securities and Markets Authority (ESMA) has published a table showing the state of play of Memoranda of Understanding (MoUs) signed by EU national supervisors. ESMA had negotiated the template MoUs regarding the Alternative Investment Fund Directive (AIFMD) with non-EU regulators around the globe. The AIFMD MoUs allow the exchange of information between EU and non-EU supervisors thus enabling non-EU fund managers to market alternative funds within the European Union. The AIFMD covers hedge funds, private equity and real estate funds.
TOM MTF Statistics Week 42, 2013

Date 18/10/2013

Click here to download the weekly statistics update of TOM MTF for week 42 - 2013.
Platts: Asia Spot LNG Prices For November Delivery Up 4.1% On Looming Demand - On A Year-Over-Year Basis, November Prices Were Up 22.0%

Date 18/10/2013

Prices of liquefied natural gas (LNG) for November delivery to Asia rose 4.1% to an average $15.864 per million British thermal units (/MMBtu), as North Asian utilities increased storage levels ahead of the peak winter demand season, according to the latest monthly Platts Japan/Korea Marker (JKM), which reflects month-ahead delivery. The monthly average Platts JKM for delivery in November was assessed from September 16 to October 14.

Hedge Funds – A New Era Of Transparency And Openness - Remarks Of SEC Chair Mary Jo White, Managed Funds Association Outlook 2013 Conference On October 18, 2013

Date 18/10/2013

Thank you very much Richard for that kind introduction. I am very happy to be here today and particularly pleased that I could join you at this conference at such an important time in your industry.
Kickstarter In Legal Threat Over #UKCrowdfundingDay

Date 18/10/2013

US Crowdfunding giant Kickstarter has threatened the organisers of #UKCrowdfundingDay with legal action.
Lord Jay Of Ewelme And Vikram Singh Mehta To Join Thomson Reuters Founders Share Company Board Of Directors

Date 18/10/2013

Thomson Reuters Founders Share Company today announced that it has appointed Lord Jay of Ewelme and Vikram Singh Mehta to its Board of Directors.
Japan's Financial Services Agency: Notice Of International Conference On The Future Of Asian Markets And Exchanges

Date 18/10/2013

The Financial Research Center (FSA Institute) will hold an international conference on “The Future of Asian Markets and Exchanges” jointly with Japan Exchange Group, Inc. on November 26, 2013, in Tokyo.
UBS MTF Trading Notice - Change Of Trade Reporting Arrangement

Date 18/10/2013

This trading notice is to inform you of changes to the reporting destination for trades undertaken on UBS MTF.
In order to fulfill MiFID post-trade transparency requirements, trades executed on UBS MTF are currently reported to the Markit BOAT “TDM” (Trade Data Monitor) service.