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SEC: Senior Supervisors Group Issues Report On Risk Management Practices

Date 21/10/2009

The Senior Supervisors Group (SSG) that comprises senior financial supervisors from seven countries (United States, Canada, France, Germany, Japan, Switzerland, United Kingdom) today issued a report that evaluates how weaknesses in risk management and internal controls contributed to industry distress during the financial crisis.
Federal Appeals Court Affirms CFTC’s Finding Of Manipulation By Anthony J. DiPlacido And Modifies Civil Monetary Penalty - CFTC Previously Found That DiPlacido Manipulated Settlement Prices For Electricity Futures Contracts On The New York Mercantile Exch

Date 21/10/2009

The U.S. Commodity Futures Trading Commission (CFTC) today announced that on October 16, 2009, the U.S. Court of Appeals for the Second Circuit affirmed the CFTC’s November 5, 2008, decision finding that Anthony J. DiPlacido (DiPlacido) manipulated settlement prices for electricity futures contracts on the New York Mercantile Exchange (NYMEX). The Second Circuit ruling also upheld the Commission’s imposition of a cease and desist order, a registration revocation and 20-year prohibition on DiP
Remarks Of Chairman Gary Gensler, OTC Derivatives Regulation, Futures Industry Association Annual Expo, October 21, 2009

Date 21/10/2009

Good morning. It is a pleasure to be in Chicago with you today at one of the defining moments in our nation’s financial history. As we speak, Congress is taking up broad regulatory reform. One year ago, the financial system failed the American public. The financial regulatory system failed the American public.
Speech By SEC Chairman Mary L. Schapiro: Statement On Dark Pool Regulation Before The Commission Open Meeting

Date 21/10/2009

Good morning. Today we are tackling another item on our agenda to protect investors and bring greater transparency to our markets.
NASDAQ Dubai Welcomes International Finance Corporation’s Intention To List $100 Million Sukuk

Date 21/10/2009

NASDAQ Dubai today welcomed the announcement by the International Finance Corporation (IFC), a member of the World Bank Group, that it intends to list a $100 million Sukuk on the Exchange.

Deutsche Börse And Eurex Support EU Commission Plans To Increase Safety And Soundness Of OTC Derivatives Market

Date 21/10/2009

Deutsche Börse and Eurex welcome the communication issued by the EU Commission entitled “Ensuring Efficient, Safe and Sound Derivatives Markets: Future Policy Actions“. Both companies support the EU Commission’s objective to reduce systemic risks in the OTC derivatives market in order to increase the stability of the market with the proposed measures. Effective risk management and improved transparency are essential elements to strengthen the safety and soundness of the current market organizati
TABB Group Comments On Today's SEC Hearing And Regulating Dark Pools

Date 21/10/2009

Adam Sussman, TABB Group’s director of research, comments on the SEC and dark pools, specific to today’s SEC open meeting in Washington, DC beginning at 10:00 am ET to consider whether to propose regulatory changes regarding dark pools: “There is no evidence that dark pool volume should be curtailed … yet. Although the percentage of matched share volume occurring in the dark has risen steadily during the past four years – from 1.5% in 2005 to nearly 12% today – the absence of
Tokyo Commodity Exchange: Margin For November 2009

Date 21/10/2009

Margins to be applied for the trades in November 2009 are as follows (Unit: JPY): Commodity Contract Month Initial *1
Tokyo Commodity Exchange: Circuit Breakers For November 2009

Date 21/10/2009

1. CB Trigger Levels (in JPY) Commodity (Mini & Options Included)
Shanghai Stock Exchange On List Of China Top 10 Trademark Registration Enterprises

Date 21/10/2009

The Shanghai Stock Exchange (SSE) was awarded "China Top 10 Enterprises for Madrid International Trademark Registration" at the "Symposium in Memory of the 20th Anniversary of China's Entry into 'Madrid Agreement for International Registration of Trade Marks'" held by the Trademark Office of the State Administration for Industry & Commerce on October 18.