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OneChicago Holiday Notice – Thanksgiving Trading Hours

Date 14/11/2012

In observance of the Thanksgiving Holiday, OneChicago will follow the schedule below, which is consistent with U.S. equity markets.
BM&FBOVESPA: Proclamation Of The Republic Day

Date 14/11/2012

Thursday (November 15) is national public holiday in Brazil and there will be no trading on BM&FBOVESPA.
“The Trouble” Statement By CFTC Commissioner Bart Chilton Before The Bloomberg FX 12 Summit, New York, NY

Date 14/11/2012

Thanks for the opportunity to be with you. I'm pleased to be with Hal Scott, and in particular with William Cohan who has written so eloquently about these subjects. It is good to be here.
CBOE, C2, CFE, and CBSX Trading Schedule For The Thanksgiving Holiday

Date 14/11/2012

CBOE Holdings, Inc. (NASDAQ: CBOE) announced the following trading schedule for Chicago Board Options Exchange (CBOE), CBOE Futures Exchange (CFE), C2 Options Exchange (C2) and CBOE Stock Exchange (CBSX) in observance of the Thanksgiving holiday:
New Zealand's Financial Markets Authority: Release Of PwC Report Into Ross Asset Management

Date 14/11/2012

The investigation into the affairs of David Ross of Ross Asset Management Ltd and related entities has moved forward today with the release of the receivers' report.

CFTC Issues Proposed Swaps Report For Public Comment - Proposed Report Seeks Public Input On Format, Structure, And Supporting Documentation

Date 14/11/2012

The Commodity Futures Trading Commission (CFTC) today issued, for public comment, a proposed CFTC Swaps Report that, when the proposal is finalized, will give the public a view into the previously dark swaps market.
US Agencies Issue Supplemental Statement On Supervisory Practices Regarding Financial Institutions And Borrowers Affected By Hurricane Sandy

Date 14/11/2012

The Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the National Credit Union Administration, and the Office of the Comptroller of the Currency (the agencies) recognize the continuing impact of Hurricane Sandy on the customers and operations of many financial institutions and encourage institutions to consider all reasonable and prudent steps to assist customers in communities affected by recent storms. Therefore, the agencies are issuing supplemental guidance to their October 30, 2012, statements about financial institutions and borrowers affected by Hurricane Sandy. A complete list of the affected disaster areas can be found at www.fema.gov.
“Regulatory Relativity” CFTC Commissioner Bart Chilton’s Keynote Address To The 7th Annual OTC Derivatives Operations & Processing Conference, New York, NY

Date 14/11/2012

Hello! It’s good to be with you today. Thank you for the kind invitation. Let’s do something unconventional, shall we? Let’s discuss financial regulatory reform with some scientific metaphors. Let’s talk regulatory relativity. Let’s talk Dodd-Frank—that is: the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
Hong Kong's Securities And Futures Commission Disciplines And Fines CIC Investor Services $4 Million Over Handling Of Professional Investors And Documentation Of Advice

Date 14/11/2012

The Securities and Futures Commission (SFC) has reprimanded CIC Investor Services Limited (CIC) and fined it $4 million for its failures to comply with regulatory requirements in treating clients as professional investors and to keep adequate records of its investment advice to clients.
Remarks During News Briefing About SEC-DOJ FCPA Guide By Robert Khuzami Director Of The SEC’s Division Of Enforcement U.S. Securities And Exchange Commission

Date 14/11/2012

The most effective law enforcement programs are those that combine vigorous prosecution of those who break the law with an equally vigorous effort to enable those who seek to abide by the law.