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Remarks At Office Of The Investor Advocate’s Evidence Summit, SEC Commissioner Kara M. Stein, March 10, 2017

Date 10/03/2017

First, I want to thank Rick Fleming and the Office of the Investor Advocate for hosting this inaugural evidence summit.

I also want to acknowledge the dedicated efforts of Dr. Brian Scholl.  Brian has been single-mindedly focused on bringing new research and ideas to the Commission’s work.

CFTC Commitments Of Traders Reports Update

Date 10/03/2017

The current reports for the week of March 7, 2017 are now available.

SEC Charges Firms Involved In Layering, Manipulation Schemes

Date 10/03/2017

The Securities and Exchange Commission today announced fraud charges against a Ukraine-based trading firm accused of manipulating the U.S. markets hundreds of thousands of times and the New York-based brokerage firm and CEO who allegedly helped make it possible.

Federal Reserve Board Seeks To Fine And Prohibit Two Former Managing Directors At J.P. Morgan Securities (Asia Pacific) From Employment In Banking Industry

Date 10/03/2017

The Federal Reserve Board announced on Friday it will seek to fine and prohibit Fang Fang and Timothy Fletcher, two former managing directors at J.P. Morgan Securities (Asia Pacific) Limited, from working in the banking industry for their participation in a referral hiring program that violated anti-bribery law.  

SEC: Executives Charged With Manipulating Company’s Accounting Systems To Steal Money

Date 10/03/2017

The Securities and Exchange Commission today charged two former executives at a credit card processing company with masterminding a fraudulent scheme to steal millions of dollars through phony expense reimbursements, inflated invoices, and other improper accounting tactics.

Disclosure Of Total London Stock Exchange Group Plc Shares In Issue Pursuant To Rule 2.9

Date 10/03/2017

In accordance with Rule 2.9 of the City Code on Takeovers and Mergers (the "Code"), London Stock Exchange Group plc confirms that it has 350,404,527 ordinary shares of 6 79/86 pence each in issue and admitted to trading on the main market of the London Stock Exchange under the International Securities Identification Number GB00B0SWJX34.

Irish Stock Exchange: New Peruvian Global Depositary Note Lists On GEM

Date 10/03/2017

Citibank N.A., New York, as Depositary Bank, has listed Peruvian S/927,600,000 Global Depositary Notes (GDN) on the Global Exchange Market (GEM) of the Irish Stock Exchange (ISE).

MNI PINCH - Probabilty Of INterest Rate CHange

Date 10/03/2017

MNI PINCH

MNI are introducing PINCH (Probability of INterest rate CHange) for major central banks including the Federal Reserve, European Central Bank and the Bank of England. 

EBA Issues Revised List Of ITS Validation Rules

Date 10/03/2017

The European Banking Authority (EBA) issued today a revised list of validation rules in its Implementing Technical Standards (ITS) on supervisory reporting, highlighting those which have been deactivated either for incorrectness or for triggering IT problems. Competent Authorities throughout the EU are informed that data submitted in accordance with these ITS should not be formally validated against the set of deactivated rules.

CME Group Announces Record Open Interest Of 123 Million Contracts

Date 10/03/2017

CME Group, the world's leading and most diverse derivatives marketplace, announced it set a total open interest record of 123.1 million contracts on March 9, 2017, driven primarily by strong open interest in the interest rates complex. The new record surpassed the previous open interest record of 122.7 million contracts set on Dec. 15, 2016.