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Date 05/02/2014
MGEX Breaks All-Time Open Interest Record
MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), broke the all-time Exchange open interest record with79,442 open futures and options contracts after Tuesday’s trade date.
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Date 05/02/2014
IOSCO Issues Report On Risks And Benefits Of Financial Return Crowd-Funding
The Research Department of the International Organization of Securities Commissions (IOSCO) today published a Staff Working Paper entitled Crowd-funding: An Infant Industry Growing Fast.
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Date 05/02/2014
Testimony Of CFTC Acting Chairman Mark Wetjen Before The U.S. House Committee On Financial Services On The Volcker Rule Impact
Good morning Chairman Hensarling, Ranking Member Waters and members of the Committee. Thank you for inviting me to today’s hearing on Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), otherwise known as the Volcker Rule. I am honored to testify as Acting Chairman of the Commodity Futures Trading Commission (CFTC). I also am pleased to join my fellow regulators in testifying today.
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Date 05/02/2014
FINRA Fines Brown Brothers Harriman A Record $8 Million For Substantial Anti-Money Laundering Compliance Failures - Highest Fine Levied By FINRA For AML-Related Violations - Former AML Compliance Officer Also Fined And Suspended
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined New York-based Brown Brothers Harriman & Co. (BBH) $8 million for substantial anti-money laundering compliance failures including, among other related violations, its failure to have an adequate anti-money laundering program in place to monitor and detect suspicious penny stock transactions. BBH also failed to sufficiently investigate potentially suspicious penny stock activity brought to the firm's attention and did not fulfill its Suspicious Activity Report (SAR) filing requirements. In addition, BBH did not have an adequate supervisory system to prevent the distribution of unregistered securities. BBH's former Global AML Compliance Officer Harold Crawford was also fined $25,000 and suspended for one month.
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Date 05/02/2014
CFTC Issues Order Of Registration For NZX Limited
The U.S. Commodity Futures Trading Commission (Commission or CFTC) issued NZX Limited (NZX) an Order of Registration to permit NZX to provide direct access, subject to the terms and conditions specified in the Order, to its identified members or other participants located in the U.S.
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Date 05/02/2014
Non Jordanian Investment At The Amman Stock Exchange During January 2014
The total value of shares that were bought by non-Jordanian investors during January 2014 was JD37.7 million, representing 12.2% of the overall trading value, while the value of shares sold by them amounted to JD41.8 million. As a result, the net of non-Jordanian investment during January 2014 showed a decrease by JD4.1 million, compared with an increase by JD7.0 million during the same month of 2013.
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Date 05/02/2014
OneChicago Holiday Notice – Washington’s Birthday 2014
OneChicago (OCX) will be closed on Monday, February 17, 2014 in observance of the upcoming Holiday, Washington’s Birthday, which is consistent with U.S. equity markets. OneChicago will be open on Tuesday, February 18, 2014.
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Date 05/02/2014
BME Presents The Book “Active Management Of Fixed Income Portfolios: A Practical Approach” Published As Part Of Its Estudios & Investigación Collection
BME presented yesterday the book "Active management of Fixed Income portfolios: a practical approach", published as part of his collection "Estudios & Investigación". The book is aimed at professionals in portfolio management but is also geared to a wider public interested in gaining insight into the theoretical and practical aspects of Fixed Income management.
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Date 05/02/2014
Signing Of Cooperation Agreement Between Helex Group And Sibiu Stock Exchang
On the occasion of the signing of the cooperation agreement between the HELEX Group and the SIBEX Exchange of Romania, an event was held today, February 5th, 2014 at the Hellenic Exchanges Group Headquarters. During this event, the Chairman of the Board of SIBEX, Mr. Ovidiu Galatanu, declared the start of the trading session by ringing the traditional opening bell.
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Date 05/02/2014
BATS Global Markets Announces Combined Executive Team - Chris Isaacson Named EVP, Global CIO - Bryan Harkins Named EVP, Head Of U.S. Markets
BATS Global Markets, Inc. (BATS) today announced its combined executive team, effective with the January 31st close of the company’s merger with Direct Edge Holdings.
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