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BATS Global Markets Announces Retail Price Improvement Program - Plans Retail Price Improvement (RPI) Program For BATS BYX Exchange, Pending Regulatory Approval

Date 14/08/2012

BATS Global Markets today announced plans to introduce a Retail Price Improvement (RPI) program to its BYX Exchange as a one-year pilot program, subject to approval by the U.S. Securities and Exchange Commission (SEC).
Standard Chartered PLC: New York State Department Of Financial Services Agreement Is Announced

Date 14/08/2012

Standard Chartered PLC (the "Group") refers to an announcement made today by the New York State Department of Financial Services (the "DFS") announcing the adjournment of the hearing, originally due to be held on 15th August 2012.
CFTC’s Division Of Swap Dealer And Intermediary Oversight Responds To Questions Regarding Recent Amendments To Compliance Obligations For Commodity Pool Operators And Commodity Trading Advisors - Responses Intended To Provide Additional Guidance To Affected Market Participants

Date 14/08/2012

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a set of responses to frequently asked questions (FAQs) regarding compliance obligations for Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs). The FAQs address a variety of issues/concerns related to the compliance obligations for CTAs and CPOs that were raised over the past several months by a number of market participants. The issues/concerns include: compliance dates, wholly owned subsidiaries, trading limits, and the process for transitioning from an exemption from registration under Commission regulation 4.13(a)(4) to either registering or claiming another exemption. DSIO staff anticipates supplementing or revising the FAQs as needed.
Statement From Benjamin M. Lawsky, Superintendent Of Financial Services, Regarding Standard Chartered Bank

Date 14/08/2012

Benjamin M. Lawsky, New York Superintendent of Financial Services, issued the following statement today.
Accion, NYSE Euronext, And Yelp Bring Big StartUp Small Business Connections Tour To New York City - “Marketing Meets Microfinancing” Workshop Coming To The Local Business Owner Community - New York Stock Exchange, 7th Floor, 6:30-8:30PM

Date 14/08/2012

On August 23, the New York Stock Exchange (NYSE: NYX) will bring its NYSE Big StartUp “Small Business Connections: Marketing Meets Microfinancing” nationwide workshop tour to New York City. Hosted in coordination with Big StartUp partners Accion and Yelp, the event will connect local business owners with two necessary resources for growing a business: social media marketing know-how and access to capital. New York is the fifth stop on the Small Business Connections tour and 70 business owners have already registered to attend.

SEC Charges Wells Fargo For Selling Complex Investments Without Disclosing Risks

Date 14/08/2012

The Securities and Exchange Commission today charged Wells Fargo’s brokerage firm and a former vice president for selling investments tied to mortgage-backed securities without fully understanding their complexity or disclosing the risks to investors.
SunGard-Sponsored Celent Survey Finds Large Chinese Financial Institutions Need To Improve Risk Management

Date 14/08/2012

Competition from within the industry and a more complex financial environment now outweigh regulatory factors as key considerations for risk management at large financial institutions in China, according to a survey* by analyst firm, Celent, sponsored by SunGard. Celent conducted in-depth interviews with risk managers from large Chinese banks, securities firms and asset management companies. The survey revealed that only 11% of large financial institutions believed that their existing systems could meet their risk management needs.
Dubai Financial Market Closed For Eid Al Fiter Starting Saturday, 18 August 2012

Date 14/08/2012

On the occasion of Eid Al Fiter, the market will be closed starting from Saturday, 18 August 2012 and will resume on 04th of Shawwal 1431 A.H.
ISE Completes Roll Out Of Implied Order Functionality - Industry-Leading Complex Order Book Further Enhanced By Improved Liquidity And Fill Rates

Date 14/08/2012

The International Securities Exchange (ISE) today announced that it has completed the roll out of Implied Order functionality* for all products in its complex order book. ISE introduced Implied Order functionality in May to a limited number of symbols and has conducted a measured roll out over the past three months. Implied Orders significantly enhance ISE's industry-leading complex order book by enabling greater interaction of multi-legged orders with the regular order book. This functionality has already tightened spreads on ISE's regular order book, resulting in better executions for multi-legged orders and for regular orders.
Clearing Connectivity Standard Launched For Central Counterparty Clearing - Sapient Global Markets Contributes Deep Domain And Technology Expertise To Help Improve Communication And Reporting For Asset Managers, Fcms And Custodians

Date 14/08/2012

Sapient Global Markets has announced the completion of a new industry standard for cleared OTC derivatives related activity reporting for asset managers, futures commission merchants (FCMs) and custodians. The Clearing Connectivity Standard (CCS) is a standardized connectivity format that can be used by the FCM community to transmit OTC clearing related information on behalf of their asset manager clients to custodians.