Mondo Visione Worldwide Financial Markets Intelligence

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  • SEC: Insider Traders Returning Illegal Profits And Kickbacks

    Date 09/03/2016

    The Securities and Exchange Commission today announced that a Florida man trading on inside information ahead of a pharmaceutical company merger and a friend who tipped him have agreed to settle enforcement actions against them.

  • Euronext Announces Annual Review Of The AEX, AMX And AScX

    Date 09/03/2016

    Euronext, the leading exchange in the Eurozone, today announces the results of the annual review of the AEX®, AMX®and AScX®indices. The changes due to the review will be effective from Monday 21 March 2016.

  • CFTC Orders CHS, Inc. And CHS Hedging, LLC To Pay $1 Million For Inaccurately Reporting Positions In Corn And Soybeans

    Date 09/03/2016

    The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against CHS, Inc. (CHS), a cooperative corporation for failing to comply with its legal obligation to submit accurate monthly CFTC Form 204 Reports, regarding the composition of CHS’s fixed price cash corn and soybean purchases and sales, in violation of the reporting requirements in CFTC Regulation 19.01. CHS is based in Inver Grove Heights, Minnesota.

  • California Water District To Pay Penalty For Misleading Investors

    Date 09/03/2016

    The Securities and Exchange Commission today charged California’s largest agricultural water district with misleading investors about its financial condition as it issued a $77 million bond offering.  

  • MiFID II/Best Execution Legal Opinion With Regard To Routing To Multiple Trading Venues

    Date 09/03/2016

    An important aim and consequence of the MiFID regime for investment firms has been the introduction of competition, resulting in the establishment of multiple equity and derivatives exchanges. Banks and investment firms need to consider how they will manage the multitude of execution venue-choices in their duty of care towards clients for the MiFID II enhanced Best Execution requirements.