News Centre

CFTC Settles Enforcement Action In District Court Against Daniel Shak For Violation Of A CFTC Administrative Order - Court Orders Shak To Pay A $100,000 Fine For Violating The CFTC’s Order

Date 30/03/2015

The U.S. Commodity Futures Trading Commission (CFTC) today announced that on March 27, 2015, Judge Emmet G. Sullivan of the U.S. District Court for the District of Columbia entered a Consent Order of permanent injunction against Defendant Daniel Shak of Las Vegas, Nevada, for his violation of a CFTC Administrative Order (CFTC Order) entered on November 25, 2013. The Court’s Consent Order requires Shak, among other things, to pay a $100,000 civil monetary penalty to settle CFTC civil charges that Shak violated the terms of the CFTC Order.

“Grading The Commission’s Record On Capital Formation: A+, D, Or Incomplete?” Speech By SEC Commissioner Daniel M. Gallagher - Vanderbilt Law School’s 17th Annual Law And Business Conference, Nashville, TN

Date 30/03/2015

Thank you, Jim [Cheek] for that kind introduction.  It is an honor to be here at Vanderbilt today.  Not only because Vanderbilt is such a distinguished university, but because it is home to a dear friend of mine, Craig Lewis.  As Director of the SEC’s Division of Economic and Risk Analysis, Craig did more to transform the agency — in particular by crafting a new paradigm for cost-benefit analysis in the work of the Commission — than any other staffer in the Commission’s recent history.  I miss having Craig at the SEC — our loss is truly Vanderbilt’s gain — but his successor Mark Flannery is doing a great job running with the baton that Craig passed to him.

Bank Of England Publishes Details Of 2015 Stress Test For Largest UK Banks And Building Societies

Date 30/03/2015

Today, the Bank of England is publishing the scenario for the 2015 stress test, which will be applied to the largest UK banks and building societies. The scenario has been agreed by the Financial Policy Committee (FPC) and Prudential Regulation Authority (PRA) Board.

Cerenis Therapeutics Lists On Euronext Paris

Date 30/03/2015

EnterNext, the Euronext subsidiary dedicated to promoting and growing the market for SMEs,today celebrated the listing of Cerenis Therapeutics, an international biopharmaceutical company dedicated to discovering and developing innovative HDL (“good cholestrol”) therapies for the treatment of cardiovascular and metabolic disease. Cerenis Therapeutics is listed on the Euronext Paris regulated market in Compartment B.

SEC Announces Fraud Charges Against Investment Adviser Accused Of Concealing Poor Performance Of Fund Assets From Investors

Date 30/03/2015

The Securities and Exchange Commission today announced fraud charges against an investment adviser and her New York-based firms accused of hiding the poor performance of loan assets in three collateralized loan obligation (CLO) funds they manage.

MIAX Options - MIAX Risk Protection Monitor (MIAX RPM™) Details

Date 30/03/2015

MIAX Options Exchange recently rolled out the MIAX Risk Protection Monitor (MIAX RPM™).  RPM provides an Electronic Exchange Member or Clearing Firm Member the ability to define metrics that provide risk protection to "Block", "Cancel" and "Warn" based on the number of orders entered or contracts traded via orders for a Clearing Number, Firm Code or MPID in a specified period of time. RPM metrics are set by the Members and are conveyed electronically back to the member via FIX Messages and CTD Messages when triggered. 

Dubai International Financial Centre (DIFC) Highlights Dubai's Status As Global Investment Hub At Middle East Investment Summit 2015

Date 30/03/2015

The Dubai model has been to create a business friendly economy, supported by robust, world-class regulatory and legal frameworks. As a result, Dubai has organically emerged as a leading regional trade and finance hub with minimal government control and private sector regulation backed by state-of-the art infrastructure and a world-class business environment, according to Rajesh Pareek, Chief Financial Officer, Dubai International Financial Centre Authority (DIFC Authority).

HKEx Announces Details Of Temporary Holiday Risk Management Arrangements

Date 30/03/2015

Hong Kong Exchanges and Clearing Limited (HKEx) has announced the following details of its holiday risk management arrangements for the upcoming holiday period, following its news release dated 20 March 2015.

TVM Capital Healthcare Partners First To Register Under DIFC's New Qualified Investors Fund Regime - The New 'Qualified Investors Fund' Category Was Introduced By Dubai Financial Services Authority (DFSA) To Minimise Registration Procedures For Certain Types Of Private Equity Funds While Maintaining Best-Practice Regulation

Date 30/03/2015

TVM Capital Healthcare Partners has become the first company to register a private equity fund under the new Qualified Investors Fund (QIF) regime introduced by the Dubai International Financial Centre (DIFC).

DFM Commends Employees’ Invaluable Role In Its Successful Journey As A Leading Financial Market Over The Past 15 Years

Date 30/03/2015

His Excellency Essa Kazim:

• Our success is driven by the proficiency and innovation of employees and we are well positioned for further achievements in the future
• Enabling participants’ access to the market through Smart Borse as well as realizing the full capacity of the economy are our main strategic pillars for the upcoming period