News Centre

CFTC Charges Utah Residents Christopher Hales, Eric Richardson And Their Company, Bentley Equities, LLC, With Fraud And Misappropriation - CFTC Seeks An Emergency Restraining Order Freezing Defendants’ Assets

Date 03/05/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a federal court action in Utah charging Bentley Equities, LLC (Bentley), a Delaware corporation, and its principals, Christopher D. Hales and Eric A. Richardson, with fraud and misappropriation in connection with commodity futures trading. Richardson resides in Cedar Hills, Utah, and Hales is currently an inmate at the Florence, Colo., Federal Correction Complex. None of the defendants has ever been registered with the CFTC.

Results Of The Annual General Meeting Of UBS AG

Date 03/05/2012

UBS AG shareholders re-elected the existing members of the Board of Directors proposed for re-election and also elected Isabelle Romy, Beatrice Weder di Mauro and Axel A. Weber to the Board for the first time at the Annual General Meeting on May 3, 2012. Following the meeting, the Board of Directors appointed Axel A. Weber its Chairman, as was its intention in the event of his election.

Introductory Statement To The Press Conference - Mario Draghi, President Of The ECB, Vítor Constâncio, Vice-President Of The ECB,, Barcelona, 3 May 2012

Date 03/05/2012

Ladies and gentlemen, the Vice-President and I are very pleased to welcome you to our press conference. I would like to thank Governor Fernández Ordóñez for his kind hospitality and express our special gratitude to his staff for the excellent organisation of today’s meeting of the Governing Council. We will now report on the outcome of today’s meeting of the Governing Council, which was also attended by the Commission Vice-President, Mr Rehn.

CFTC Charges Illinois Resident Dimitry Vishnevetsky And His Company, Oxford Capital, LLC, With Commodity Pool Fraud - Federal Court Enters Emergency Order Freezing Defendants’

Date 03/05/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that on May 1, 2012, the Honorable Ruben Castillo, of the U.S. District Court for the Northern District of Illinois, entered an order freezing the assets of defendants Dimitry Vishnevetsky of Chicago, Ill., and his company, Oxford Capital, LLC (OCL), a defunct Wisconsin limited liability company. The court’s order also prohibits the destruction of books and records.

Speech By SEC Staff: Address At The Private Equity International Private Fund Compliance Forum By Carlo V. di Florio, Director, Office Of Compliance Inspections And Examinations, U.S. Securities And Exchange Commission

Date 03/05/2012

Q1. Thanks for being with us Carlo. As everyone here is aware, the deadline has now passed for advisers to large private equity firms to register with the SEC. Can you discuss what the agency is doing to prepare for the nearly 4000 private fund advisers that are registered with the Commission?

Let me begin by thanking you for inviting me to speak to you today on important topics of concern to private equity fund advisers, many of whom are newly registered with the Commission as required under the Dodd-Frank Act. We in the National Examination Program (“NEP”) have shared objectives when it comes to protecting investors, market integrity and capital formation. Many of you have been charged by your firms with bolstering their compliance functions to prepare for registration with the Commission. I salute you for the important work that you are undertaking to promote good risk management, compliance and ethics in the private equity fund sector. My door is always open and I welcome the dialogue and collaboration as we work together to prevent fraud, improve compliance, monitor risk and inform policy. As you know, the views that I express here today are my own and do not necessarily reflect the views of the Commission or of my colleagues on the staff of the Commission.

NASDAQ OMX Agrees To Acquire BWise, A Leading Governance, Risk Management And Compliance (GRC) Software Solution - BWise's Fully-Integrated GRC Software Platform Helps Companies Be More Efficient Managers Of Risk

Date 03/05/2012

The NASDAQ OMX Group, Inc. (NASDAQ: NDAQ) today announced that it has agreed to acquire BWise, a global leader in enterprise governance, risk management and compliance (GRC) software.  BWise’s premium GRC platform will be available through NASDAQ OMX Corporate Solutions, a NASDAQ OMX software technology business dedicated to helping public and private companies minimize risk, maximize efficiency and increase transparency with a suite of governance, investor relations and public relations products.

Palestine Exchange Monthly Newsletter "Tadawul" - April 2012

Date 03/05/2012

Click here to download the PEX Monthly Newsletter "Tadawul" for April 2012.

NASDAQ OMX And The Egyptian Exchange Extend Technology Agreement

Date 03/05/2012

The NASDAQ OMX Group, Inc (Nasdaq:NDAQ) and the Egyptian Exchange (EGX) have entered an agreement that extends their relationship for a further five years. Under the terms of the agreement, NASDAQ OMX will continue to support the EGX trading platform, powered by NASDAQ OMX technology, which started operating in November of 2008.

Palestine Exchange Investor Monthly Newsletter Issue #25, April 2012

Date 03/05/2012

Click here to download the April 2012 edition of the PEX Investor Monthly Newsletter.

Hong Kong's Securities And Futures Commission: New Regulatory Measures Take Effect Under Securities And Futures (Amendment) Ordinance

Date 03/05/2012

The Securities and Futures Commission (SFC) welcomes the enactment of the Securities and Futures (Amendment) Ordinance 2012 (Amendment Ordinance).