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SEC: Fee Rate Advisory #3 For Fiscal Year 2015

Date 15/01/2015

The Securities and Exchange Commission today announced that starting on Feb. 14, 2015, the fee rates applicable to most securities transactions will be set at $18.40 per million dollars.
Protecting Investors And Strengthening Market Integrity - IIROC Publishes Final Sanction Guidelines

Date 15/01/2015

The Investment Industry RegulatoryOrganization of Canada (IIROC) issued final Sanction Guidelines that set out general principles and key factors to be considered by hearing panels. Effective February 2, 2015, these guidelines will be applied to all disciplinary and settlement proceedings.
SEC Announces Charges Against Attorneys and Auditors in Microcap Scheme Involving Purported Mining Companies

Date 15/01/2015

The Securities and Exchange Commission today announced charges against attorneys, auditors, and others allegedly involved in a microcap scheme the agency stifled last year when it suspended the registration statements of 20 purported mining companies being used for sham offerings of stock to investors.
United States (U.S.) – European Union (EU) Financial Markets Regulatory Dialogue Joint Statement

Date 15/01/2015

Participants in the U.S.-EU Financial Markets Regulatory Dialogue (FMRD) met on January 12, 2014 to exchange information on regulatory developments as part of their ongoing dialogue, and discuss their strong cooperation and shared interests in continuing to implement and enforce robust standards, including those on the G-20 financial regulatory agenda. Recognizing the continued importance of U.S. and EU markets for the growth and stability of the international economy, participants welcomed the progress made by U.S. and EU authorities since the crisis to bolster the resilience of financial markets and reiterated their unswerving commitment to work together to advance financial regulatory reform in a consistent and convergent manner.
Deutsche Börse: Unscheduled Free Float Adjustment In SDAX

Date 15/01/2015

Deutsche Börse AG has announced an unscheduled adjustment to the free float of VTG AG in SDAX. The company’s free float changed by more than 10 percentage points, which was caused by a share increase due to an acquisition of another company as well as a significant change in the shareholder structure.

US Agencies Release Public Sections Of Resolution Plans

Date 15/01/2015

The Federal Reserve Board and the Federal Deposit Insurance Corporation (FDIC) today made available the public portions of resolution plans for firms with generally less than $100 billion in qualifying nonbank assets, as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
SEC Charges UBS Subsidiary With Disclosure Violations And Other Regulatory Failures In Operating Dark Pool

Date 15/01/2015

The Securities and Exchange Commission today charged a subsidiary of UBS with disclosure failures and other securities law violations related to the operation and marketing of its dark pool.
Tel Aviv Stock Exchange Weekly Review: 11-15 January 2015

Date 15/01/2015

Trading on the Tel Aviv Stock Exchange (TASE) during the second week of 2015 was characterized by a decline in most of the leading share indices.
BGC Announces Contingent Increase Of All-Cash Tender Offer To Acquire GFI Group To $5.85 Per Share And Immediate Non-Contingent Increase To $5.75 Per Share - Contingent Increase Depends Upon Determination Of Superiority By GFI Special Committee And Board - Urges GFI Shareholders To Vote AGAINST The Inferior CME/GFI Management Transaction And Tender Their Shares To BGC

Date 15/01/2015

BGC Partners, Inc. (NASDAQ: BGCP) ("BGC Partners," "the Company," or "BGC"), a leading global brokerage company primarily servicing the financial and real estate markets, today announced that it has delivered an executed agreement to GFI Group Inc. (NYSE: GFIG) ("GFI Group" or "GFI") that, if countersigned by GFI, provides that BGC would increase its fully financed, all-cash tender offer to acquire all of the outstanding shares of GFI to $5.85 per share.
Thomson Reuters Positioned As A Leader In Gartner's 2014 Magic Quadrant For Operational Risk Management For Its Accelus Risk Manager Solution -Recognized For Ability To Execute And Completeness Of Vision

Date 15/01/2015

Thomson Reuters, the world’s leading source of intelligent information for businesses and professionals, today announced that its Accelus Risk Manager solution has been positioned by Gartner, Inc. in its Leaders Quadrant of the “Magic Quadrant for Operational Risk Management”* report.