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Using Exchange-Listed Options As A Risk Management Tool For IPO stocks, By Gary Delany, OIC Director, Europe, December 12, 2017

Date 12/12/2017

Markets trade on information. Initial public offerings, or IPOs, can be large events that are popular with investors. An IPO takes place when a new or existing company first issues stock to the public, with the primary goal of raising capital for corporate development.
SEC Charges Biopharmaceutical Company With Failing To Properly Disclose Perks For Executives - Former CEO And CFO Also Charged

Date 12/12/2017

The Securities and Exchange Commission today charged a biopharmaceutical company with committing a series of accounting controls and disclosure violations, including the failure to properly report as compensation millions of dollars in perks provided to its then-CEO and then-CFO.
EBA Publishes Final Guidelines On Security Measures Under PSD2

Date 12/12/2017

The European Banking Authority (EBA) published today its final Guidelines on security measures for operational and security risks of payments services under the revised Payment Services Directive (PSD2). These Guidelines are in support of the objective of PSD2 of contributing to an integrated payments market across the European Union, promoting equal conditions for competition, and mitigating the increased security risks arising from electronic payments. This, in turn, minimises disruption to users, payment service providers and payment systems.
UK's Financial Conduct Authority: Ross Peters Sentenced For Failing To Pay Confiscation Order

Date 12/12/2017

Ross Peters was today sentenced to 400 days imprisonment for failing to pay the full value of a confiscation order made against him.
Federal Court Orders Kevin Michael Symons Of Foot Hill Ranch, California And His Firm, FTS Financial, Inc., To Pay Over $5 Million Total For Fraud And Jerry Austin Simmons Of Charlotte, North Carolina To Pay $360,000 For Fraud And Failure To Register With The CFTC

Date 12/12/2017

The Commodity Futures Trading Commission (CFTC) announced that Judge Ronnie Abrams of the U.S. District Court for the Southern District of New York entered a Consent Order against Defendants Kevin Michael Symons of Foothill Ranch, California, and his California company, FTS Financial, Inc. (FTS), and a Consent Order against Jerry Austin Simmons of Charlotte, North Carolina. The Orders find that the Defendants fraudulently promoted Simmons’ “Real Time Trade Room” (the Room), an online futures “trading” forum marketed by the Defendants as a way to observe Simmons as he purported to trade futures contracts “live” and that Simmons solicited clients to open managed futures trading accounts without being registered as required with the CFTC as an Associated Person (AP) of a Commodity Trading Advisor (CTA).

Seventh Meeting Of The Financial Stability Board Regional Consultative Group For The Commonwealth Of Independent States

Date 12/12/2017

Today, the Ministry of Finance of the Russian Federation hosted the seventh meeting of the Financial Stability Board (FSB) Regional Consultative Group for the Commonwealth of Independent States (RCG for the CIS) in Moscow.
Changes In ATHEX Index Series

Date 12/12/2017

ATHEX announces the changes in the composition of the ATHEX Index Series in regard to the implementation of the results of the semi-annual review of their composition.
Changes In FTSE/ATHEX Index Series

Date 12/12/2017

ATHEX announces the changes in the composition of the FTSE/ATHEX Index Series in regard to the implementation of the results of the semi-annual review of their composition.
CFTC Issues Proposed Exemptive Order To Permit ICE Clear Credit, ICE Clear US, And ICE Clear Europe To Invest Customer Funds In French And German Sovereign Debt

Date 12/12/2017

The Commodity Futures Trading Commission (CFTC) has approved for publication in the Federal Register a proposed exemptive order that would permit derivatives clearing organizations ICE Clear Credit LLC, ICE Clear US, Inc., and ICE Clear Europe Limited (ICE DCOs) to invest, subject to certain conditions, futures and swap customer funds in French and German sovereign debt. The order would also expand the universe of counterparties and depositories that the ICE DCOs may use in connection with these investments.
OpenDoor Appoints Former AQR Trading Head As Managing Director

Date 12/12/2017

OpenDoor Securities (“OpenDoor”), the first all-to-all marketplace for off the run Treasuries and TIPS, has appointed Hicham Hajhamou, formerly Head of Rates and FX Trading at quantitative hedge fund AQR Capital Management, as Managing Director, responsible for overseeing OpenDoor’s Treasury Inflation Protected Securities (TIPS) business. In his new role, Hicham will report directly to President & CEO, Susan Estes.