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UK’s Financial Services Authority Requires Action Of The HSBC Group

Date 11/12/2012

The Financial Services Authority (FSA), as lead regulator for the HSBC Group globally, is taking action in relation to issues in respect of HSBC’s compliance with anti-money laundering rules and US sanctions requirements. The FSA has worked closely with the relevant US authorities and this action is separate to, but coordinated with the actions taken by them.
U.S. Treasury Department Reaches Landmark Settlement With HSBC - Combined Federal, Local, International Action Marks Largest Bank Settlement In U.S. History

Date 11/12/2012

The U.S. Department of the Treasury today announced settlements amounting to $875 million – the largest collective settlement in the department’s history – with HSBC Holdings plc (together with its affiliates, HSBC). The Treasury Department’s collective settlement, reached by the Financial Crimes Enforcement Network (FinCEN), the Office of the Comptroller of the Currency (OCC), and the Office of Foreign Assets Control (OFAC) is part of the combined federal, local, and international government action that amounted to the largest bank settlement in U.S. history. In total, more than $1.9 billion were assessed in penalties for HSBC’s conduct in violation of the Bank Secrecy Act (BSA) and U.S. sanctions.
FTSE MIB Index Quarterly Review

Date 11/12/2012

The FTSE Italia Index Policy Committee has approved the following changes to the FTSE MIB Index which will become effective after the close of business on Friday, 21 December 2012 (i.e. on Thursday, 27 December 2012).
Jennifer Mchugh Named Senior Advisor In SEC’s Division Of Investment Management

Date 11/12/2012

The Securities and Exchange Commission today announced that Jennifer B. McHugh has been named Senior Advisor to the Director in its Division of Investment Management.
Bahamas International Securities Exchange January To September 2012 Statistical Report

Date 11/12/2012

BISX is pleased to announce its BISX All-Share Index and trading statistics for the nine month period ending September 30, 2012 with comparison to the same period of 2011.

CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Relief For Certain Futures Commission Merchants Concerning Annual Reports Of Chief Compliance Officers

Date 11/12/2012

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action letter that provides certain futures commission merchants (FCMs) with limited relief surrounding the requirement that chief compliance officers of such FCMs prepare and submit an Annual Report, pursuant to Commission Regulation 3.3.
Swedish Financial Supervisory Authority (Finansinspektionen) Withdraws The Authorisation Of Fundior Finans Och Försäkring AB

Date 11/12/2012

The insurance intermediary Fundior Finans och Försäkring AB has had several serious deficiencies in its operations. Amongst other factors, the company has neglected important customer protection rules. Finansinspektionen (FI) is therefore withdrawing the authorisation.
Athens Exchange Monthly Statistical Bulletin November 2012

Date 11/12/2012

Please click here to download the ATHEX monthly statistic Bulletin.
BATS Exchange Welcomes Proshares ETF - Becomes Second ETF Family To List Products On BATS Exchange

Date 11/12/2012

BATS Global Markets (BATS), a leading operator of securities markets in the U.S. and Europe, today announced that ProShares, a premier provider of alternative exchange traded funds (ETFs), will list the ProShares Merger ETF on BATS Exchange.
CBOE Holdings Declares Special Cash Dividend Of $0.75 Per Share

Date 11/12/2012

CBOE Holdings (NASDAQ: CBOE) today announced that its Board of Directors has declared a special cash dividend of $0.75 per share on its common stock. The dividend will be paid on December 28, 2012 to stockholders of record on December 21, 2012.