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Chicago-Based Cadent Financial Services LLC Sanctioned For Failing To Diligently Supervise Employees - CFTC Orders Cadent To Pay A $120,000 Civil Penalty And To Strengthen Its Supervisory System
Date 30/09/2009
The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Cadent Financial Services LLC (Cadent), of Chicago, Ill. for failing to diligently supervise its employees in the handling of a client’s account. Cadent is a registered futures commission merchant.
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Standard & Poor's Announces Changes In The S&P/TSX Venture Composite Index
Date 30/09/2009
Standard & Poor's will make the following changes in the S&P/TSX Venture Composite Index after the close of trading on Wednesday, September 30, 2009: The shares of IMA Exploration Inc. (TSXVN:IMR) will trade under the new name Kobex Minerals Inc. The new ticker symbol will be "KXM" and the new CUSIP number will be 49989C 10 5. The capital of the company will be consolidated on a 1-for-2.4 basis. The shares of Kobex Resources (TSXV:KBX) will be removed from the index. The s
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Speech By SEC Chairman Mary L. Schapiro: Opening Statement, Day Two Of The Securities Lending And Short Sale Roundtable
Date 30/09/2009
Good morning. Welcome to day two of the Securities and Exchange Commission's Securities Lending and Short Sale Roundtable, which will cover the short sale portion of the roundtable. First, on behalf of the Commission, let me thank all who have agreed to participate in today's roundtable. The Commission's consideration of these important short selling issues will be enhanced by what I expect will be informative and interesting comments, insights and recommendations by our panelists.
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NYSE Announces Circuit Breaker Levels for Fourth-Quarter 2009
Date 30/09/2009
The New York Stock Exchange will implement new circuit-breaker collar trigger levels for third-quarter 2009 effective Thursday, Oct. 1, 2009.
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CFTC Seeks Public Comment On Request From New York Mercantile Exchange Involving Contracts Traded On The Dubai Mercantile Exchange
Date 30/09/2009
The Commodity Futures Trading Commission (Commission) is requesting public comment on a petition submitted by the New York Mercantile Exchange to amend an existing order in connection with contracts traded on the Dubai Mercantile Exchange (DME).
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AGCO Corporation Agrees To Pay $18.3 Million To Settle SEC Charges Of FCPA Violations
Date 30/09/2009
The Securities and Exchange Commission today charged AGCO Corporation with violations of the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA), alleging that certain subsidiaries made approximately $5.9 million in kickback payments related to their sales of humanitarian goods to Iraq under the United Nations Oil for Food Program. AGCO Corporation, a manufacturer and supplier of agricultural equipment headquartered in Duluth, Ga., has agreed t
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RTS Indices Weekly Review
Date 30/09/2009
Weekly review: September 21 – 25, 2009 (pdf, 189 K6)
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SEC And CFTC Chairmen Issue Update On Harmonization Report
Date 30/09/2009
The chairmen of the Securities and Exchange Commission and the Commodity Futures Trading Commission announced today that they anticipate, in two weeks, the two agencies will issue a report that will address key areas in which their regulatory schemes are different. The chairmen also expect the report will recommend legislative and regulatory actions to address those differences where appropriate.
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Weighty Issues At Meeting Of European Finance Ministers
Date 30/09/2009
Tomorrow the informal meeting of EU finance ministers kicks off in Göteborg. At a press conference ahead of the meeting, Swedish Minister for Finance Anders Borg and Minister for Financial Markets Mats Odell talked about the issues to be addressed at the meeting.
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Bursa Malaysia Securities Berhad: Sector Update: Lion Diversified Holdings Berhad ("LIONDIV")
Date 30/09/2009
(“Bursa Securities”) has decided to update the classification of sector for LIONDIV to come into effect on 9.00 a.m., Thursday, 1 October 2009. The update in the classification of sector for LIONDIV’s securities are as follows :- Company
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