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  • SEC: Hong Kong Firm To Pay $14 Million To Settle Insider Trading Charges

    Date 18/10/2012

    The Securities and Exchange Commission today announced that a Hong Kong-based  firm charged with insider trading in July has agreed to settle the case by  paying more than $14 million, which is double the amount of its alleged illicit  profits. The proposed settlement is subject to the approval of Judge Richard J.  Sullivan of the U.S. District Court for the Southern District of New York.

  • FTSE/ATHEX Index Series - Semi Annual Review

    Date 18/10/2012

    The FTSE/ATHEX Index Advisory Committee met today to approve the semi review  - which will be implemented after the close of business on the last Friday of  November 2012 -, in line with the new index structure of the FTSE/ATHEX Index  Series.

  • FINRA Expels EKN Financial Services For Defying SEC Order And For Numerous Compliance Violations - CEO Barred - Former President Fined And Suspended

    Date 18/10/2012

    The Financial Industry Regulatory Authority (FINRA) today announced that it has expelled EKN Financial Services, Inc. of Melville, NY, for numerous compliance violations and for allowing its CEO, Anthony Ottimo, to act as a supervisor after being barred from acting in that capacity by the Securities and Exchange Commission (SEC) in June 2008. FINRA barred Ottimo from the securities industry and barred the firm's former President, Thomas Giugliano, from acting in a principal capacity, suspended him from the securities industry for one year and fined him $150,000. EKN, through Ottimo and Giugliano, also violated numerous NASD/FINRA and SEC rules and federal securities laws, including anti-money laundering (AML) violations, net capital deficiencies and widespread reporting failures.

  • Exercise Of Ibovespa Options Generates BRL 4.04 Billion Financial Volume On BM&FBOVESPA

    Date 18/10/2012

    The exercise of options on the BOVESPA Index (Ibovespa) generated BRL 4.04 billion yesterday, with 68,380 contracts traded. Of the volume exercised, BRL 1.13 billion was in put options and BRL 2.9 billion in call options.

  • Xetra/FWB: SAF-HOLLAND S.A. Bond Subscription Ends Early

    Date 18/10/2012

    The subscription period for the SAF-HOLLAND S.A. bond (ISIN: DE000A1HA979), – which is to be included in the Prime Standard for corporate bonds– was closed successfully on its very first day. The total volume of 75 million € was already able to be placed on the market by late morning on the first day of subscription. Also private investors used the signing functionality via the XETRA-signing tool. The subscription was originally supposed to run until 26 October.

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