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SEC Approves Stronger Safeguards to Protect Clients’ Assets Controlled by Investment Advisers

Date 16/12/2009

The Securities and Exchange Commission today adopted rules designed to substantially increase the protections for investors who turn their money and securities over to an investment adviser registered with the SEC. The new rules provide safeguards where there is a heightened potential for fraud or theft of client assets.
Federal Reserve Board: Consent Order To Cease And Desist Against Credit Suisse

Date 16/12/2009

The Federal Reserve Board on Wednesday announced the issuance of a consent Order to Cease and Desist against Credit Suisse AG, Zurich, Switzerland. The Order requires that Credit Suisse improve its program for compliance with U.S. economic sanctions requirements on a global basis.
UK's Financial Services Authority Consults On Raising Professional Standards For All Investment Advisers

Date 16/12/2009

The Financial Services Authority (FSA) has today published proposals for enhancing the professionalism of investment advisers under the Retail Distribution Review (RDR).
BM&FBOVESPA Announces Second Previews For The Ibovespa Theoretical Portfolio And Other Indexes Valid From January To April 2010

Date 16/12/2009

BM&FBOVESPA announces the second preview for the Ibovespa theoretical portfolio, which will be valid for the period of January 4 to April 30, 2010. The Exchange also announces the second previews of the other 12 calculated indexes.
SEC Charges Former Employees Of Global Firms In Serial Insider Trading Scheme

Date 16/12/2009

The Securities and Exchange Commission today charged two former employees at major global financial institutions and two of their friends in a serial insider trading scheme to profit on highly confidential merger and acquisition information.

Global X Funds Lists Global X China Energy ETF On NYSE Arca

Date 16/12/2009

NYSE Euronext (NYX) announced that its wholly-owned subsidiary, NYSE Arca, today began trading the Global X China Energy ETF (Ticker: CHIE). The ETF is sponsored by Global X Funds.
Federal Court In Georgia Imposes More Than $6.75 Million In Fines And Other Sanctions In CFTC Action Charging Commodity Options Fraud

Date 16/12/2009

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained more than $6.75 million in civil monetary penalties and equitable relief in a court order against American Derivatives Corp. (ADC), Brokerage Management Corp., Layne D. Gerstel and Devereaux D. Booth, all of Atlanta, Ga., and David N. Mittler of Aventura, Fla.
CME Group Announces Expansion Of International Incentive Programs For Metals

Date 16/12/2009

CME Group, the world's largest and most diverse derivatives marketplace, today announced that it is expanding its international electronic trading fee incentive programs to provide clients outside of North America with greater access to COMEX metals futures products. The extension will apply from January 1, 2010, to participants in the International Incentive Program (IIP), the Asia Pacific Incentive Program (AIP), the South American
ICE Trust Announces December 21 Launch For Single-Name CDS Clearing - Sees Twelve Active Firms In First Two Days Of Buy-Side Clearing

Date 16/12/2009

IntercontinentalExchange(R) (NYSE: ICE), a leading operator of regulated global futures exchanges, clearing houses and over-the-counter (OTC) markets, announced that ICE Trust U.S. (ICE Trust(TM)) has received regulatory approval to offer clearing services for single-name credit default swap (CDS) contracts in the U.S., following the launch of single name CDS clearing in Europe earlier this week by ICE Clear Europe. ICE Trust also announced that twelve firms have been active in the clea
Chi-X Global Names Steven Silberstein Chief Information Officer, Greg Smith Vice Chairman

Date 16/12/2009

Chi-X® Global Inc. today announced that it has hired trading technology veteran Steven Silberstein as Chief Information Officer. Additionally, Gregory E. Smith, CEO of Chi-X Global Technologies, LLC (Chi-Tech), the technology services unit of Chi-X Global, has been named Vice Chairman of Chi-X Global.