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UK's Financial Conduct Authority Bans Phillip Harold Boakes And Sentence Of 10 Years Upheld

Date 24/11/2015

The Court of Appeal has upheld a sentence of 10 years imprisonment imposed on Phillip Harold Boakes following his conviction on 6 March 2015 on charges prosecuted by the Financial Conduct Authority (FCA).
EEX New Participant: NovaWatt SAS

Date 24/11/2015

NovaWatt SAS has been admitted to exchange trading for Futures on Emission Rights.
Semi - Annual Review Of FTSE/ATHEX Index Series

Date 24/11/2015

The FTSE/ATHEX Index Series Advisory Committee met today and endorsed the following changes in the composition of the FTSE/ATHEX Index Series, taking into consideration the results of the review for the period April 2015 - September 2015.
EEX New Participant: Modity Energy Trading AB

Date 24/11/2015

Modity Energy Trading AB has additionally been admitted to exchange trading for German Intraday Cap Futures.
MIAX Options - December 1, 2015 Transaction Fee Changes

Date 24/11/2015

Effective December 1, 2015, pending SEC approval, the MIAX Options Fee Schedule will be amended.

Federal Reserve Board Proposes Rule Requiring Large Banking Organizations To Publicly Disclose Several Measures Of Their Liquidity Profile

Date 24/11/2015

The Federal Reserve Board on Tuesday proposed a rule requiring large banking organizations to publicly disclose several measures of their liquidity profile. These measures will be the first required public disclosure of a quantitative liquidity risk metric for large banking organizations.
Concurring Statement Of CFTC Commissioner Sharon Y. Bowen Regarding Open Meeting On Regulation Automated Trading (“Regulation AT”)

Date 24/11/2015

Thank you. It’s a pleasure to be here this morning to consider the proposed rule on automated trading. I want to thank the Commission staff for the time they have devoted on this proposal. It is a timely topic.
SEC Charges Political Intelligence Firm

Date 24/11/2015

The Securities and Exchange Commission today announced that a political intelligence firm agreed to admit wrongdoing and pay a $375,000 penalty for compliance failures.
CFTC Unanimously Approves Proposed Rule On Automated Trading

Date 24/11/2015

The U.S. Commodity Futures Trading Commission (Commission) today unanimously approved proposed rules that mark a comprehensive regulatory response to the evolution of automated trading on U.S. designated contract markets (DCMs). The proposed rules, known collectively as Regulation Automated Trading or Regulation AT, represent a series of risk controls, transparency measures, and other safeguards to enhance the U.S. regulatory regime for automated trading. The notice of proposal will be open for a 90-day public comment period.
US Justice Department Announces Privatbank IHAG Zürich AG Reaches Resolution Under Swiss Bank Program

Date 24/11/2015

The Department of Justice announced today that Privatbank IHAG Zürich AG (IHAG) reached a resolution under the department’s Swiss Bank Program. IHAG will pay a penalty of more than $7 million.